Senior Compliance Associate

Job Description

Job Description

THE OPPORTUNITY

We're seeking a Senior Compliance Associate with a robust background in securities compliance to join our wealth management client. The ideal candidate will be a detail-oriented, analytical thinker who can work both independently and collaboratively to maintain and enhance our firm's compliance program, and be able to communicate fluently with colleagues and clients in Spanish speaking countries. This role is perfect for a proactive individual with a deep understanding of the regulatory landscape for broker-dealers and investment advisers.

HOW YOU WILL MAKE AN IMPACT

• Policy and Procedure Management : Assist in the development, implementation, and maintenance of compliance policies and procedures in line with FINRA , SEC , and state regulations.
• Regulatory Filings : Prepare and submit regulatory filings, including but not limited to, Form ADV and Form BD amendments.
• Examinations and Audits : Act as a key point of contact and support during regulatory examinations and internal audits.
• Communication : Serve as a liaison between the compliance department and other business units, providing guidance on regulatory requirements and best practices.
• Advertising and Marketing Review : Review and approve marketing materials, advertisements, and other communications to ensure compliance with FINRA and SEC rules.
• Training and Education : Help develop and deliver compliance training programs for employees on topics such as anti-money laundering, cybersecurity, and regulatory updates.
• Monitoring and Surveillance : Conduct regular surveillance and monitoring of trading activities, electronic communications, and other activities to detect and prevent potential violations.
• Issue Resolution : Investigate and resolve compliance-related issues, escalating complex matters to senior management as needed.

WHAT YOU BRING TO THE TABLE

COST TO ENTER THE GAME

WHY WOULD YOU JOIN OUR CLIENT?

We offer a dynamic and supportive work environment where you can make a real impact. You'll be part of a collaborative team that is dedicated to upholding the highest standards of integrity and regulatory compliance. We provide competitive compensation, comprehensive benefits, and opportunities for professional growth. 📈