Brokerage firm - FINRA Licensed Compliance Associate

ViewTrade; Boca Raton (FL); On-site; USD 65,000 - 85,000; Full time

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

401K Plan with employer match

Paid time off

Job summary

ViewTrade in Boca Raton, FL is seeking a licensed Compliance Associate with over 5 years of brokerage experience and a Series 24 License. This role involves assisting with compliance duties, managing regulatory documentation, and supporting team operations.

The ideal candidate will excel in communication and possess strong problem-solving skills, showcasing attention to detail and the ability to work under pressure. A competitive salary and comprehensive benefits package, including health and retirement plans, are offered.

Qualifications

• 5+ years of experience in the brokerage industry.
• Must have a Series 24 License.
• Experience in compliance and operations is a plus.

Responsibilities

• Assist the CCO with daily compliance duties.
• Manage registration/deregistration in CRD and FINRA systems.
• Support clients with inquiries and documentation.

Skills

Professional communication skills

Attention to detail

Problem resolution

Organizational skills

Job description

Overview

ViewTrade Securities is currently looking for a licensed Compliance Associate for our Boca Raton, FL office. We are seeking full time candidates with 5+ years of experience in the brokerage industry with a Series 24 License. Must possess strong professional communication skills; with the ability to develop positive working relationships and provide excellent customer support for both our national and international clients. Must be team oriented and work well under pressure, capable of working with multiple systems, must have high attention to detail, the ability to process work accurately and meet deadlines, ability to work independently and think critically exercising good judgment, excellent problem resolution, organizational, and follow-up skills are a must, and the ability to embrace change and work in a fast-paced environment. In our firm compliance and operations work together as one, therefore knowledge on the operations side is preferred.

Responsibilities

• Assist the CCO and perform daily compliance duties like FINCEN reports, MIS Alerts, activity letters, account approval, incoming and outgoing fund transfers, incoming ACAT review, DTC, DRS, DWAC transfers.
• Register/deregister new/old employees in the CRD and FINRA systems and process all related documentation.
• Keeping track and assisting in the annual compliance meetings if needed.
• Help collect documentation and data for regulator’s requests.
• Assist clients and different departments with questions.
• Help and participate in projects when needed with the operations team.
• Help with reviewing daily compliance reports if needed.
• Perform other duties as assigned or required.

Benefits

At ViewTrade you will have a competitive salary, excellent benefit packages which include Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.