Compliance Associate

We are seeking a detail-oriented, collaborative Compliance Associate to join our team. In this role, you will play a key operational part in managing relationships with financial professionals, streamlining onboarding processes, and maintaining regulatory compliance standards. The ideal candidate excels at organizational oversight, clear communication, and maintaining seamless operations across our financial services network.

Location: This position is based in Des Moines, IA. A hybrid work schedule may be available based on team needs and flexibility requirements.

What you'll Do

Relationship Management & inbox Triaging

• Serve as a primary operational contact for financial professionals via phone, email, and in-person interactions.
• Triage the supervision team email inbox to ensure timely responses and appropriate routing of requests.
• Reassign orphan accounts and establish correct system codes associated with account assignments.

Compliance Monitoring & Recordkeeping

• Enter and track advertising and correspondence submissions using internal communications review tools.
• Monitor financial professional activities and compliance milestones, including annual compliance questionnaires, firm element training, and securities registration renewals.
• Maintain accurate, up-to-date compliance records within Salesforce CRM.
• Assist with external audit preparation and follow-up tasks.

Onboarding & Administrative Operations

• Manage the broker-dealer onboarding process for both internal staff and network office team members.
• Coordinate cross-functional support tasks within structured operational deadlines.

What’s in it for you?

We provide a total rewards package focused on your health, family, and financial security. This includes comprehensive medical, dental, and vision options alongside company-paid disability and life insurance. We support your work-life balance with PTO, paid holidays, volunteer time off, and paid parental leave. Finally, we invest in your future through a 401(k) plan and a robust Employee Assistance Program for professional support.

Compensation: The anticipated compensation for this position is $27.00-$35.00, based on your level of experience and technical expertise.

• Bachelor's degree or equivalent experience required; finance or business-related degree preferred
• Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding of financial industry regulations highly desired
• Familiarity with Salesforce CRM system a plus
• Strong organizational and time management skills required
• Ability to work both independently and with a team
• Aptitude for completing tasks within structured deadlines
• Excellent oral and written communication skills required
• Strong attention to detail with the ability to work efficiently & accurately
• Registration is not required for this role; Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities

Physical Requirements:

• Standing or sitting for extended periods of time in an office environment
• Working on a computer for extended periods of time
• Lifting up to 15 pounds