Job Description
Role Overview
The Compliance Associate will support the firm’s compliance program and work closely with senior compliance professionals to ensure adherence to SEC, FINRA, and internal regulatory requirements. This role is designed for someone eager to learn, detail-oriented, and interested in building a career in compliance within wealth management.
Key Responsibilities
- Assist with day-to-day compliance monitoring and administrative support
- Support reviews of client accounts, new account documentation, and transaction activity
- Assist with surveillance reviews related to trading activity, suitability, and best execution
- Help maintain compliance records, logs, and regulatory filings
- Support preparation for audits, regulatory exams, and internal reviews
- Assist with reviewing marketing materials, correspondence, and client communications
- Help update and maintain written supervisory procedures (WSPs)
- Stay current on regulatory rules, firm policies, and industry best practices
- Provide general compliance support to advisors and internal teams
Qualifications
- Bachelor’s degree in Finance, Business, Economics, Legal Studies, or a related field
- Internship or entry-level experience within wealth management, broker-dealer, RIA, or financial services preferred
- Strong interest in compliance, regulatory affairs, and financial services
- High attention to detail with strong organizational skills
- Ability to handle confidential information with discretion
- Strong written and verbal communication skills
- Proficient in Microsoft Office (Excel, Word, Outlook)