Compliance Associate

Realta Wealth; Minneapolis (MN); On-site; USD 75,000 - 85,000; Full time

Benefits offered by this job

PTO

Medical

Dental/Vision

401K with match

FSA

Other fringe benefits

Job summary

Realta Wealth in Minneapolis, MN is seeking a Compliance Associate to support FINRA licensing, registration, and related regulatory filings. You will oversee Form U4/U5 activities, manage deadlines, and coordinate with internal teams and outside counsel on examinations and arbitrations.

The role emphasizes strong attention to detail, discretion with sensitive information, and effective communication across stakeholders in a fast-paced financial-services environment.

Qualifications

• Bachelor’s degree or paralegal certification required.
• 2+ years of experience in a broker/dealer, RIA, law firm, or financial-services compliance environment (FINRA-regulated experience strongly preferred).
• Familiarity with FINRA Web CRD / Gateway, Forms U4 and U5, and licensing/registration workflows.
• Strong organizational skills with the ability to manage multiple deadlines and regulatory tasks simultaneously.
• Excellent written and verbal communication skills and high attention to detail.
• Ability to handle confidential and sensitive information with discretion.

Responsibilities

• Oversee and administer FINRA licensing and registration processes for registered representatives and principals, including filing and monitoring Form U4, U5, and amendments through FINRA Gateway / Web CRD.
• Maintain accurate registration records, track renewal deadlines, exam windows, continuing education requirements, and jurisdictional filings.
• Serve as a primary point of contact for licensing-related inquiries from advisors, supervisors, and internal stakeholders.
• Prepare documentation and organize responses for FINRA and SEC examinations, regulatory inquiries, and routine compliance reviews.
• Provide administrative and coordination support for FINRA arbitration and mediation matters, including document collection, case tracking, scheduling, and correspondence with outside counsel as needed.
• Assist with maintaining compliance calendars, policies, procedures, and audit documentation.
• Support the onboarding and termination process for registered personnel to ensure timely and accurate regulatory filings.
• Collaborate with Compliance leadership on special projects, risk assessments, and control enhancements.
• Ensure all work is performed in accordance with regulatory requirements and firm standards of professionalism, confidentiality, and accuracy.

Skills

FINRA licensing

Registration workflows

Regulatory filings

Communication

Case management

Attention to detail

Education

Bachelor's degree

Paralegal certification

Tools

Microsoft Office

Document-management tools

Job description

The Compliance Associate supports the firm’s Compliance and Legal functions by overseeing FINRA licensing and registration activities, preparing and filing regulatory forms, and providing administrative and case-management support for FINRA examinations, inquiries, and arbitrations. This role requires strong attention to detail, sound judgment, and the ability to manage sensitive regulatory and legal matters in a confidential and professional manner.

Key Responsibilities

• Oversee and administer FINRA licensing and registration processes for registered representatives and principals, including filing and monitoring Form U4, U5, and amendments through FINRA Gateway / Web CRD.
• Maintain accurate registration records, track renewal deadlines, exam windows, continuing education requirements, and jurisdictional filings.
• Serve as a primary point of contact for licensing-related inquiries from advisors, supervisors, and internal stakeholders.
• Prepare documentation and organize responses for FINRA and SEC examinations, regulatory inquiries, and routine compliance reviews.
• Provide administrative and coordination support for FINRA arbitration and mediation matters, including document collection, case tracking, scheduling, and correspondence with outside counsel as needed.
• Assist with maintaining compliance calendars, policies, procedures, and audit documentation.
• Support the onboarding and termination process for registered personnel to ensure timely and accurate regulatory filings.
• Collaborate with Compliance leadership on special projects, risk assessments, and control enhancements.
• Ensure all work is performed in accordance with regulatory requirements and firm standards of professionalism, confidentiality, and accuracy.

Qualifications

• Bachelor’s degree or paralegal certification required; prior paralegal or legal support experience preferred.
• 2+ years of experience in a broker/dealer, RIA, law firm, or financial-services compliance environment (FINRA-regulated experience strongly preferred).
• Familiarity with FINRA Web CRD / Gateway, Forms U4 and U5, and licensing/registration workflows.
• Strong organizational skills with the ability to manage multiple deadlines and regulatory tasks simultaneously.
• Excellent written and verbal communication skills and high attention to detail.
• Ability to handle confidential and sensitive information with discretion.
• Proficiency with Microsoft Office and document-management tools.

Benefits & Compensation

• The salary range for this role is $75,000-$85,000
• Benefits include: PTO, Medical, Dental/Vision, 401K with match, FSA, and other fringe benefits.