Compliance Associate

Location: Boca Raton, FL

Work Arrangement: Fully On-Site

Industry: Financial Services / Broker-Dealer

About the Opportunity: A growing broker-dealer is looking to add a Compliance Associate to its team in Boca Raton, FL. This is an opportunity to join a developing organization and gain broad exposure to the firm's day-to-day compliance program while working closely with business, operations, and supervisoryteams. The ideal candidate will have experience within a FINRA-regulated broker-dealer environment and a solid understanding of regulatory requirements. Active Series 7 and Series 24 licenses are required.

Key Responsibilities: Support the firm's day-to-day compliance program and regulatory requirements. Monitor business activities for compliance with FINRA, SEC, and other applicable rules and regulations. Assist with compliance reviews, testing, surveillance, and monitoring activities. Help maintain and update written supervisory procedures and compliance policies. Partner with business and operations teams to identify and address potential compliance issues. Assist with regulatory filings, examinations, audits, and information requests. Review transactions, account activity, communications, and other business activities for potential regulatory concerns. Assist with identifying compliance risks and implementing appropriate controls and process improvements. Maintain accurate compliance records and documentation. Stay informed on regulatory developments and help assess their impact on the business. Support compliance training and other internal initiatives as needed.

Qualifications: Active Series 7 and Series 24 licenses required.5+ years of relevant compliance experience within a broker-dealer or regulated financial services environment. Working knowledge of FINRA, SEC, and broker-dealer regulatory requirements. Experience with compliance monitoring, surveillance, testing, or supervisory procedures. Strong attention to detail and ability to identify potential regulatory and operational risks. Excellent written and verbal communication skills. Ability to work independently while collaborating effectively with internal teams. Bachelor's degree preferred. Why Consider This Opportunity? Join a growing broker-dealer with an opportunity to make an impact. Gain broad exposure to broker-dealer compliance and regulatory functions.