Regulatory Operations Associate

Job Summary

A company is looking for a Regulatory Operations Associate to assist with compliance and regulatory matters for financial services firms.

Key Responsibilities

• Assist financial services firms with regulatory obligations and filings
• Process applications for new representatives and coordinate with regulators for registrations
• Support the Regulatory Filings team and manage various compliance tasks

Required Qualifications

• Proficient in Microsoft Office Suite; experience with Salesforce is a plus
• Familiarity with FINRA/IARD, WebCRD, and SEC's EDGAR system is advantageous
• Ability to multitask across multiple projects effectively
• Strong organizational and time management skills
• Experience in a client service-oriented, collaborative environment