State Licensed Compliance Associate
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Job Summary
Supporting compliance initiatives, the full-time State Licensed Compliance Associate will manage compliance and risk assessment programs, oversee daily compliance flags, and ensure adherence to relevant regulations in a remote setting.
Key responsibilities
- Assist in executing compliance and risk assessment programs, including testing and monitoring adherence to laws and regulations
- Oversee daily compliance flags and identify enhancements to policies and procedures while maintaining awareness of regulatory developments
- Prepare the Annual CEO Certification report and support compliance program enhancements in response to evolving regulatory requirements
Required qualifications
- Series 7 and 24 qualifications, with the ability to obtain additional certifications quickly
- A minimum of 5 years of experience in a retail fintech Broker Dealer compliance department
- Comprehensive understanding of applicable laws, regulations, and industry practices
- Previous experience in implementing a Broker Dealer compliance program
- Ability to manage multiple complex projects independently and strategically
Complete Job Description
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