Compliance Associate: Broker Dealer & RIA

Quincy Wells Group; Illinois; On-site; USD 65,000 - 90,000; Full time

Job summary

Quincy Wells Group is seeking a Compliance Associate to support the firm's compliance program across Broker Dealer and RIA businesses. Reporting to the Chief Compliance Officer, you will help scale the team, coordinate with leadership, and support regulatory obligations.

You'll gain exposure to multiple regulatory frameworks, work with senior leaders, and contribute to monitoring, testing, training, and documentation efforts in a dynamic financial services environment.

Qualifications

• 2–5 years of experience in compliance or regulatory support.
• Familiarity with Broker Dealer and/or RIA regulatory environments.
• Excellent written and verbal communication.
• Strong organizational and project management skills.

Responsibilities

• Assist the CCO with the administration and execution of the compliance program across both the Broker Dealer and RIA.
• Support ongoing compliance monitoring, testing, surveillance, and supervisory activities.
• Prepare documentation and coordinate responses for regulatory examinations, audits, and internal reviews.
• Maintain compliance logs, regulatory records, attestations, certifications, and compliance calendars.
• Coordinate with Broker Dealer and RIA leadership to support firm-wide compliance initiatives.
• Track remediation efforts, open action items, and compliance-related projects through completion.
• Assist with policy and procedure development, updates, and employee compliance training.
• Support licensing, registrations, vendor oversight, and regulatory filing requirements.
• Assist in monitoring regulatory developments and industry best practices.
• Support implementation of compliance technology, workflow improvements, and reporting tools.
• Participate in special projects and cross-functional initiatives as assigned.
• Help maintain a culture of compliance and regulatory awareness throughout the organization.
• Provide administrative and operational support to the compliance department as needed

Skills

Organizational skills

Project management

Written and verbal communication

Confidentiality and judgment

Attention to detail

Education

Bachelor's degree in Finance, Business, Legal Studies, or a related field

Tools

Microsoft Office

Compliance software platforms

Job description

Quincy Wells Group is seeking a Compliance Associate to support the firm's compliance program across Broker Dealer and RIA businesses. Reporting to the Chief Compliance Officer, you will help scale the team, coordinate with leadership, and support regulatory obligations.

You'll gain exposure to multiple regulatory frameworks, work with senior leaders, and contribute to monitoring, testing, training, and documentation efforts in a dynamic financial services environment.