Licensed Compliance Associate (Series 24) – Growth & Impact

Viewsoft Srl; Boca Raton (FL); On-site; USD 85,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Dental

Vision

Life Insurance

401K Plan with employer match

Paid time off

Job summary

ViewTrade Securities is seeking a licensed Compliance Associate for our Boca Raton, FL office. The role requires 5+ years in the brokerage industry and a Series 24 license, with strong communication and client support skills for national and international clients.

Duties include assisting the CCO with daily compliance tasks, managing registrations in CRD/FINRA, funds transfers, regulator data requests, and collaboration with operations to meet deadlines in a fast-paced environment.

Qualifications

• 5+ years of experience in the brokerage industry.
• Active Series 24 license is required.
• Licensed Compliance Associate with strong regulatory knowledge.

Responsibilities

• Support the CCO and perform daily compliance tasks such as FINCEN reports and MIS alerts.
• Process account approvals and fund transfers, including ACAT reviews.
• Register/deregister employees in CRD and FINRA systems; handle related docs.
• Assist with regulator requests and data collection.
• Support clients and internal departments with compliance questions.
• Participate in projects with operations team.
• Review daily compliance reports and maintain accuracy.
• Perform other duties as assigned.

Job description

ViewTrade Securities is seeking a licensed Compliance Associate for our Boca Raton, FL office. The role requires 5+ years in the brokerage industry and a Series 24 license, with strong communication and client support skills for national and international clients.

Duties include assisting the CCO with daily compliance tasks, managing registrations in CRD/FINRA, funds transfers, regulator data requests, and collaboration with operations to meet deadlines in a fast-paced environment.