Compliance Associate

A company is looking for a Compliance Associate to assist in all aspects of the compliance program.

Key Responsibilities

Maintain and update supervisory documents to ensure compliance with regulatory standards

Conduct reviews of regulatory disqualifying events and social media for compliance and quality assurance

Support regulatory exams by preparing key data and documentation and streamline compliance processes

Required Qualifications

1+ years of experience in a financial services company

FINRA SIE preferred

Associate's degree

Ability to evaluate risk and make impactful decisions

Solution-focused approach to compliance processes