Compliance Associate — Brokerage Regulations Pro

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

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.