Compliance Associate — Policy & Regulatory Support

Procyon; Flint (MI); On-site; USD 55,000 - 75,000; Full time

Job summary

A financial services firm is seeking a Compliance Associate to support the Chief Compliance Officer in overseeing the firm's Compliance Program. Responsibilities include completing compliance reviews, assisting in policy development, and interfacing with auditors during regulatory exams. The ideal candidate has a strong attention to detail, excellent organizational skills, and a minimum of two years of relevant experience. This role is vital to ensure adherence to industry regulations and enhance compliance awareness within the firm.

Qualifications

• Minimum two years of compliance or regulatory experience within RIA, BD, or financial services firms preferred.
• Knowledge of relevant state and federal regulations, e.g., 1940 Investment Advisers Act.
• Experience with compliance technology systems and regulatory filings is a plus.

Responsibilities

• Complete weekly, monthly, quarterly and annual reviews for compliance.
• Assist in the development of firm’s compliance policies.
• Interface with auditors and regulatory exams as necessary.
• Support preparation of regulatory filings and disclosures.

Skills

Attention to detail

Strong organizational skills

Interpersonal communication

Self-motivated

Ability to enforce policies

Education

Series 65 or 66 or similar certifications

Tools

ComplianceAdvisor Cloud 360

MyComplianceOffice

Global Relay

Trade surveillance tools

Job description

A financial services firm is seeking a Compliance Associate to support the Chief Compliance Officer in overseeing the firm's Compliance Program. Responsibilities include completing compliance reviews, assisting in policy development, and interfacing with auditors during regulatory exams. The ideal candidate has a strong attention to detail, excellent organizational skills, and a minimum of two years of relevant experience. This role is vital to ensure adherence to industry regulations and enhance compliance awareness within the firm.