**Must have an active FINRA Series 24 Certification and experience in an investment advisory space**
We are currently partnered with a growing registered investment advisor and broker-dealer seeking a Compliance Supervision Associate to ensure regulatory adherence.
In this role, you will be responsible for overseeing compliance policies, supervising representatives, reviewing transactions, conducting audits, and providing compliance guidance.
Compliance Supervision Associate Key Responsibilities:
Supervision and Monitoring:
- Ensure activities comply with FINRA, SEC, and other regulations.
- Review trades, account forms, and communications.
Audit and Examination:
- Conduct internal audits.
- Assist with regulatory examinations and implement corrective actions.
Policy Implementation:
- Update compliance policies.
- Train employees on compliance procedures.
Reporting:
- Maintain compliance records.
- Prepare reports for senior management.
Risk Management:
- Identify and mitigate compliance risks.
Compliance Supervision Associate Qualifications:
- Bachelor's degree in Finance, Business, Law, or related field.
- 5+ years in financial services compliance (RIA/broker-dealer preferred).
- FINRA Series 24 certification required.
- Strong knowledge of FINRA, SEC regulations.
- Excellent analytical, communication, and problem-solving skills.
- High ethical standards.
