Compliance Associate

Job Locations US-FL-Winter Park
ID 2023-10522
Position Type
Experienced Professional


Responsible for supporting compliance routines and initiatives as it relates to the Broker-Dealer business.  Provides day-to-day compliance support, responding to questions and clarifying policy.  Processes and performs certain specific compliance review functions on a daily/weekly/monthly basis as assigned by management. 


  • Maintains desk level procedures for paper statement review, business card approvals, data feed maintenance, personal brokerage account approvals, social media review, electronic communications and others as needed.
  • Responsible for reconciling internal systems from termination reports as a checks and balance for Registrations and Licensing
  • Complete employee social media and google reviews
  • Creates and Formats documents for management meetings
  • Monitors the Compliance mailbox (SFI
  • Support Senior Management projects; provide administrative assistants where needed
  • Support department training initiatives; track and reconcile training completion
  • Create and support employee certifications; facilitate and reconcile completions
  • Assist and maintain procedures and logs with procedure amendments.
  • Serves as backup to other team members
  • Respond to employee inquiries as it pertains to compliance systems and training
  • Any other items delegated by manager and/or CCO.


  • Bachelor’s degree or equivalent financial industry experience
  • FINRA SIE and Series 7 required within one year of hire
  • Ability to work independently
  • Strong analytical and problem-solving skills
  • Excellent written and verbal communication skills
  • Strong research/investigative skills
  • Proficient in MS Office products with focus on Excel
  • Able to develop positive and productive relationships with business line partners (sales, support and management)
  • Ability to effectively prioritize and multi-task in a fast-paced environment
  • Able to lead by example in professional and ethical manner
  • Must be available for travel as needed


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