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The client is a leading direct access trading firm that deals primarily with the trading of domestic equities. A self-clearing broker-dealer, the firm is a member of the FINRA and SIPC.
We are looking for a Compliance Associate to join the team.
He/she will help with the delivery of expert advice to broker-dealers regarding FINRA, SEC, and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face.
The Compliance function has a robust set of priorities in place focused on best practices and employee development to ensure goals are delivered.
Essential Functions:
Requirements
Job Type: Full-time
Salary: $37,958.32 - $179,850.92 per year
Schedule:
Work Location: On the road
Full Time
$85k-107k (estimate)
10/14/2023
06/07/2024
The job skills required for Compliance Associate include Risk Management, Regulatory Compliance, Trading, Compliance Monitoring, Planning, Verbal Communication, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Associate. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Associate. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Associate positions, which can be used as a reference in future career path planning. As a Compliance Associate, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Associate. You can explore the career advancement for a Compliance Associate below and select your interested title to get hiring information.
If you are interested in becoming a Compliance Associate, you need to understand the job requirements and the detailed related responsibilities. Of course, a good educational background and an applicable major will also help in job hunting. Below are some tips on how to become a Compliance Associate for your reference.
Step 1: Understand the job description and responsibilities of an Accountant.
Quotes from people on Compliance Associate job description and responsibilities
Compliance officers organize regular training sessions for employees to communicate key regulatory changes and updates.
04/12/2022: Tallahassee, FL
Perform other compliance-related responsibilities and special projects as needed.
05/02/2022: Chico, CA
They perceive the compliance risks and regulation measures within the business.
03/04/2022: Rochester, MN
Compliance associate understands the system and be able to establish their system.
03/21/2022: Killeen, TX
A compliance officer explains and defend their point of view.
02/09/2022: Madison, WI
Step 2: Knowing the best tips for becoming an Accountant can help you explore the needs of the position and prepare for the job-related knowledge well ahead of time.
Career tips from people on Compliance Associate jobs
Get Certifications and Continue Learning.
02/20/2022: Pascagoula, MS
Look for the Motivation of the Business.
03/31/2022: Spartanburg, SC
Proactively Work with Other Business Functions.
02/13/2022: Portsmouth, OH
Carefully Evaluate the Security and Compliance Posture of Business Associates.
03/02/2022: Elyria, OH
To execute the above tasks and to effectuate desired value, the compliance manager must possess a defined set of skills and expertise.
05/03/2022: Olympia, WA
Step 3: View the best colleges and universities for Compliance Associate.