Compliance Associate - Entry level

Ascendo Resources; Fort Lauderdale (FL); On-site; USD 50,000 - 70,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Job summary

A financial services firm is seeking a Compliance Associate in Fort Lauderdale, FL to support the compliance program and adhere to regulatory requirements. The role involves assisting with compliance monitoring, maintaining records, and preparing for audits. An ideal candidate holds a Bachelor's degree and possesses strong organizational and communication skills. This full-time position offers benefits such as medical and vision insurance, along with a 401(k) plan.

Qualifications

• Internship or entry-level experience in wealth management, broker-dealer, RIA, or financial services preferred.
• Strong interest in compliance, regulatory affairs, and financial services.
• Ability to handle confidential information with discretion.

Responsibilities

• Assist with day-to-day compliance monitoring and administrative support.
• Support reviews of client accounts, new account documentation, and transaction activity.
• Help maintain compliance records, logs, and regulatory filings.

Skills

Detail-oriented

Organizational skills

Communication skills

Proficiency in Microsoft Office

Education

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

Job description

Overview

The Compliance Associate will support the firm’s compliance program and work closely with senior compliance professionals to ensure adherence to SEC, FINRA, and internal regulatory requirements. This role is designed for someone eager to learn, detail-oriented, and interested in building a career in compliance within wealth management.

Key Responsibilities

• Assist with day-to-day compliance monitoring and administrative support
• Support reviews of client accounts, new account documentation, and transaction activity
• Assist with surveillance reviews related to trading activity, suitability, and best execution
• Help maintain compliance records, logs, and regulatory filings
• Support preparation for audits, regulatory exams, and internal reviews
• Assist with reviewing marketing materials, correspondence, and client communications
• Help update and maintain written supervisory procedures (WSPs)
• Stay current on regulatory rules, firm policies, and industry best practices
• Provide general compliance support to advisors and internal teams

Qualifications

• Bachelor’s degree in Finance, Business, Economics, Legal Studies, or a related field
• Internship or entry-level experience within wealth management, broker-dealer, RIA, or financial services preferred
• Strong interest in compliance, regulatory affairs, and financial services
• High attention to detail with strong organizational skills
• Ability to handle confidential information with discretion
• Strong written and verbal communication skills
• Proficient in Microsoft Office (Excel, Word, Outlook)

Seniority Level

Associate

Employment Type

Full-time

Job Function & Industry

Finance and Legal; Banking and Financial Services

Benefits

• Medical insurance
• Vision insurance
• 401(k)

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