Compliance Associate - Broker Dealer

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 60,000 - 80,000; Full time

Job summary

A financial services firm in Fort Lauderdale is looking for a Compliance Associate to aid the Chief Compliance Officer. The role involves maintaining compliance with FINRA/SEC regulations, monitoring employee activity, and providing training on compliance policies. The ideal candidate should have a degree in finance, business, or a related field, along with at least 2 years of compliance experience. This full-time position offers an excellent opportunity to develop compliance skills in a dynamic environment.

Qualifications

• 2+ years of compliance, legal, or regulatory experience within an RIA, broker-dealer, or financial services environment preferred.
• Ability to handle confidential information with discretion.

Responsibilities

• Assist the CCO with the administration of the firm’s compliance program under FINRA/SEC rules.
• Monitor employee trading and personal account activity for compliance.
• Conduct periodic reviews of marketing materials for regulatory compliance.
• Assist with the preparation and filing of regulatory documents like Form ADV.
• Support internal audits and regulatory examinations.
• Provide training to staff on compliance policies.

Skills

Attention to detail

Organizational skills

Communication skills

Proficiency with Microsoft Office Suite

Understanding of FINRA/SEC regulations

Education

Bachelor’s degree in finance, business, legal studies, or a related field

Tools

Compliance software platforms

Job description

Overview

We are seeking a Compliance Associate to support the Chief Compliance Officer (CCO) of our client, an Independent Broker Dealer. This individual will assist in maintaining and enhancing the firm’s compliance program, ensuring adherence to FINRA/SEC regulations and internal policies. The ideal candidate will be detail-oriented, proactive, and capable of handling a broad range of regulatory compliance responsibilities.

Responsibilities

• Assist the CCO with the administration of the firm’s compliance program under FINRA/SEC rules and regulations.
• Monitor employee trading, personal account activity, gifts/entertainment logs, and other Code of Ethics reporting.
• Conduct periodic reviews of marketing materials, client communications, and disclosures to ensure compliance with regulatory standards.
• Assist with the preparation and filing of Form ADV and other required regulatory filings.
• Help manage compliance testing and monitoring activities, including annual reviews.
• Support internal audits and regulatory examinations, including gathering and organizing requested documentation.
• Maintain compliance policies and procedures, ensuring they are up-to-date with regulatory changes.
• Provide training and support to staff on compliance policies and best practices.
• Research and monitor regulatory developments impacting the industry.
• Assist with record keeping and documentation in accordance with FINRA/SEC requirements.

Qualifications

• Bachelor’s degree in finance, business, legal studies, or a related field required.
• 2+ years of compliance, legal, or regulatory experience within an RIA, broker-dealer, or financial services environment preferred.
• Strong understanding of FINRA/SEC regulations, RIA/Broker dealer compliance, and investment advisory practices.
• Excellent attention to detail, organizational, and communication skills.
• Ability to handle confidential information with discretion.
• Proficiency with Microsoft Office Suite; experience with compliance software platforms, a plus.

Details

• Seniority level: Associate
• Employment type: Full-time
• Job function: Finance and Legal
• Industries: Banking, Financial Services, and Investment Banking