Compliance Associate

Job Summary

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