Job Description
Job Description
Are you a recent college grad seeking an entry-level opportunity in the financial world? MUST have good computer and communication skills and be able to frequently travel within the U.S.
PrideStaff Financial is excited to partner with a Financial Services firm to recruit for this entry-level position in financial compliance. Well respected broker/dealer firm committed to maintaining the highest standards of regulatory compliance and ethical business practices. They offer a supportive work environment that fosters professional growth and development.
Job Responsibilities:
• Conduct onsite and remote examinations of broker/dealer branch offices
• Perform audits to ensure compliance with FINRA and SEC regulations and internal firm policies
• Analyze client files, trading records, and communications for potential compliance issues
• Document and report examination findings in a clear and concise manner
• Identify and escalate compliance risks to senior staff
• Assist in investigations led by senior compliance personnel
• Participate in ongoing training and professional development activities
• Travel to various branch locations as required (approximately 50-60% travel)
• Collaborate with team members and contribute to a positive work environment
• Stay updated on changes in financial regulations and industry best practices
Skills Required:
• High school diploma or equivalent (Bachelor's degree highly preferred**)
• Excellent written and verbal communication skills
• Detail-oriented with a keen eye for discrepancies
• Ability to work independently and as part of a team
• Proficiency in Microsoft Office suite, particularly Excel - will be tested
• Strong organizational skills and ability to manage multiple priorities
• Adaptability and willingness to learn new technologies and processes
• Integrity and commitment to maintaining confidentiality
• Ability and willingness to travel extensively
Benefits:
• $40k plus 100% health insurance paid
• 401(k) retirement plan
• Paid time off and holidays
• Professional development opportunities and support for FINRA licenses
• All travel expenses paid
This entry-level position offers an excellent opportunity to launch your career in financial compliance. You'll receive extensive training, mentorship, and hands-on experience in a dynamic and challenging field. If you're detail-oriented, analytical, and passionate about ensuring regulatory compliance in the financial industry, we encourage you to apply. Join our team and make a meaningful impact in maintaining the integrity of financial markets!
FINRA / COMPLIANCE / FINANCIAL / REGULATORY COMPLIANCE /
Company Description100% Paid Health Insurance plus more
Company Description
100% Paid Health Insurance plus more