Compliance Associate

Phyton Talent Advisors; Boca Raton (FL); On-site; USD 85,000 - 120,000; Full time

Job summary

Phyton Talent Advisors in Boca Raton, FL, is seeking a Compliance Associate to join a growing broker-dealer. This role offers exposure to the day-to-day compliance program and collaboration with business, operations, and supervisory teams.

The ideal candidate has active Series 7 and Series 24 licenses and at least 5 years of regulated financial services compliance experience, with strong knowledge of FINRA and SEC requirements. Remote work not indicated; on-site role in Boca Raton.

Qualifications

• Active Series 7 and Series 24 licenses required.
• 5+ years of relevant compliance experience within a broker-dealer or regulated financial services environment.
• Working knowledge of FINRA, SEC, and broker-dealer regulatory requirements.
• Experience with compliance monitoring, surveillance, testing, or supervisory procedures.

Responsibilities

• Support the firm's day-to-day compliance program and regulatory requirements.
• Monitor business activities for compliance with FINRA, SEC, and other applicable rules and regulations.
• Assist with compliance reviews, testing, surveillance, and monitoring activities.
• Help maintain and update written supervisory procedures and compliance policies.
• Partner with business and operations teams to identify and address potential compliance issues.
• Assist with regulatory filings, examinations, audits, and information requests.
• Review transactions, account activity, communications, and other business activities for potential regulatory concerns.
• Assist with identifying compliance risks and implementing appropriate controls and process improvements.
• Maintain accurate compliance records and documentation.
• Stay informed on regulatory developments and help assess their impact on the business.
• Support compliance training and other internal initiatives as needed.

Skills

Regulatory compliance

Series 7

Series 24

Communication

Education

Bachelor's degree

Job description

About the Opportunity:

A growing broker-dealer is looking to add a Compliance Associate to its team in Boca Raton, FL. This is an opportunity to join a developing organization and gain broad exposure to the firm's day-to-day compliance program while working closely with business, operations, and supervisory teams.

The ideal candidate will have experience within a FINRA-regulated broker-dealer environment and a solid understanding of regulatory requirements. Active Series 7 and Series 24 licenses are required.

Key Responsibilities:

• Support the firm's day-to-day compliance program and regulatory requirements.
• Monitor business activities for compliance with FINRA, SEC, and other applicable rules and regulations.
• Assist with compliance reviews, testing, surveillance, and monitoring activities.
• Help maintain and update written supervisory procedures and compliance policies.
• Partner with business and operations teams to identify and address potential compliance issues.
• Assist with regulatory filings, examinations, audits, and information requests.
• Review transactions, account activity, communications, and other business activities for potential regulatory concerns.
• Assist with identifying compliance risks and implementing appropriate controls and process improvements.
• Maintain accurate compliance records and documentation.
• Stay informed on regulatory developments and help assess their impact on the business.
• Support compliance training and other internal initiatives as needed.

Qualifications:

• Active Series 7 and Series 24 licenses required.
• 5+ years of relevant compliance experience within a broker-dealer or regulated financial services environment.
• Working knowledge of FINRA, SEC, and broker-dealer regulatory requirements.
• Experience with compliance monitoring, surveillance, testing, or supervisory procedures.
• Strong attention to detail and ability to identify potential regulatory and operational risks.
• Excellent written and verbal communication skills.
• Ability to work independently while collaborating effectively with internal teams.
• Bachelor's degree preferred.

Why Consider This Opportunity?

• Join a growing broker-dealer with an opportunity to make an impact.
• Gain broad exposure to broker-dealer compliance and regulatory functions.