Regulatory Associate: Compliance & Oversight (Series 7)

Larson Maddox; Miami (FL); On-site; USD 65,000 - 90,000; Full time

Job summary

Larson Maddox is seeking a Regulatory Associate to support a range of compliance and regulatory initiatives within a high-growth financial services environment in Miami. You will assist with regulatory oversight activities, policy administration, and ongoing compliance monitoring across the business.

This role offers exposure to supervisory matters and is ideal for a professional looking to advance their compliance expertise within a collaborative team.

Qualifications

• Active Series 7 license required.
• Experience within a regulated financial services environment.
• Understanding of securities industry regulatory requirements and best practices.
• Exposure to policy and procedure management, compliance testing, or regulatory oversight activities.
• Strong organizational, analytical, and communication skills.

Responsibilities

• Support ongoing compliance and regulatory initiatives.
• Assist with the maintenance and enhancement of policies, procedures, and supervisory documentation.
• Perform compliance reviews, monitoring, and testing activities.
• Help coordinate responses to regulatory examinations, audits, and information requests.
• Track regulatory developments and assist with implementing procedural updates.
• Maintain required records and documentation.
• Partner with internal stakeholders on compliance-related matters and regulatory risk management.

Skills

Series 7

Regulatory compliance

Policy management

Compliance testing

Regulatory knowledge

Analytical skills

Communication skills

Job description

Larson Maddox is seeking a Regulatory Associate to support a range of compliance and regulatory initiatives within a high-growth financial services environment in Miami. You will assist with regulatory oversight activities, policy administration, and ongoing compliance monitoring across the business.

This role offers exposure to supervisory matters and is ideal for a professional looking to advance their compliance expertise within a collaborative team.