Compliance Associate: Wealth Management Regulatory Support

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

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.