Associate Compliance Officer

About the Role

• Opportunity to join an established and rapidly growing investment management business with a national footprint
• Play a critical role in the growth and development of the compliance program
• Award-winning modern offices and a collaborative working culture

Key Responsibilities

• Reporting to the Chief Compliance Officer, the Compliance Officer supports the compliance program of a dually registered broker-dealer and investment adviser.
• Ensure adherence to regulatory requirements and internal policies.
• Support day-to-day compliance operations.
• Assist with regulatory audits and internal reviews.
• Monitor and interpret FINRA, SEC, and state regulatory developments and assess their impact on the firm.
• Conduct communications and trade surveillance reviews to ensure compliance with firm policies and regulatory requirements.
• Provide compliance training and guidance to business units and registered representatives.
• Assist with updating firm policies and procedures manuals.
• Assist with the review of marketing materials.
• Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators.
• Collaborate with legal, operations, and supervisory teams to address compliance issues and implement corrective actions.
• Provide cross-functional support to different teams within the department based on shifting priorities and business needs.

Requirements & Tech Stack

• FINRA Series 7 and Series 63 required.
• Series 24 highly desirable.
• Strong knowledge of rules, laws and regulations relevant to securities compliance and communications, including FINRA, SEC and state laws, rules, and regulations for broker-dealers, investment advisers, and insurance companies.

Qualifications

• Bachelor’s degree is essential education.
• Advanced degree is preferable education.
• Several years of directly related experience in compliance, regulatory frameworks, policies and procedures.