What are the responsibilities and job description for the B/D RIA Compliance Associate position at GWN Securities, Inc.?
Compliance Associate
Location: Palm Beach Gardens, FL
Employment Type: Full-Time
Reports To: Compliance Manager
Position Summary
The Compliance Associate supports the Compliance Department by assisting with advertising review, disclosures, and day-to-day compliance activities. This role helps ensure marketing materials, client communications, and disclosures comply with applicable regulatory requirements and internal policies. The Compliance Associate works closely with the Compliance Supervisor and business partners to support regulatory compliance and risk mitigation across the firm.
Key Responsibilities
- Review and pre-approve advertising, marketing materials, and client communications for compliance with FINRA, SEC, and firm standards
- Assist with the preparation, maintenance, and review of client disclosures and regulatory documentation
- Support ongoing compliance monitoring and testing related to advertising, disclosures, and communications
- Assist with responses to regulatory inquiries and examinations by gathering documentation and supporting materials
- Support the tracking and documentation of client complaints and related compliance records
- Maintain compliance logs, approvals, and records in accordance with recordkeeping and retention requirements
- Partner with marketing, operations, and business teams to ensure compliance requirements are understood and followed
- Escalate potential compliance issues to the Compliance Supervisor as appropriate
- Assist with compliance projects, regulatory filings, and special initiatives as assigned
Qualifications & Requirements
- 1–3 years of experience in financial services, compliance, marketing review, or a related operational role
- Basic understanding of Broker-Dealer and/or Investment Adviser regulatory requirements, with emphasis on advertising and communications
- Strong written and verbal communication skills with exceptional attention to detail
- Strong organizational skills and ability to manage multiple tasks and deadlines
- Ability to analyze materials for compliance with regulatory and firm standards
- Proficiency in Microsoft Office and ability to learn internal systems and compliance platforms
Preferred Qualifications
- Series 7 and Series 24 licenses (preferred)
- Experience reviewing advertising, marketing materials, or client communications in a regulated environment
- Familiarity with FINRA and SEC advertising and disclosure requirements
- Professional, collaborative, and detail-oriented work style
- Ability to work effectively in a fast-paced, deadline-driven environment
Travel Requirements
- Occasional travel may be required on short notice
Compensation & Benefits
- Base salary (commensurate with experience)
- Company-paid medical insurance for employee and family
- Company-paid long-term disability (LTD) insurance
- Company-paid life insurance (3x annual salary)
- Four (4) weeks of paid time off (PTO)
- Optional employee-paid dental coverage
- Optional employee-paid short-term disability (STD) insurance