What are the responsibilities and job description for the Compliance Associate position at MOHR Talent?
**Compliance Associate
Rollingwood, TX | $62,000–$65,000 salary
100% Onsite| Monday–Friday
About the Opportunity**
We're partnering with a leading independent financial services organization that supports financial advisors and their clients across the country. Known for its culture of reinvention, technology-driven solutions, and commitment to empowering advisors, the firm provides an integrated platform combining wealth management, compliance oversight, and innovative operational tools.
They're seeking a Compliance Associate to join their growing Supervision Division. This role is designed to build future leadership "bench strength" — an opportunity for a motivated, technically inclined professional to be trained and developed into a Supervisory Principal. You'll start by assisting with oversight and administrative functions that don't require licensing, while receiving structured coaching and sponsorship for FINRA licensing over the next year.
If you're detail-oriented, proficient in Excel, and interested in the compliance and supervision side of financial services, this is a strong entry point to launch your career in regulatory oversight.
What You'll Be Doing
- Support the Supervision team with oversight and regulatory tasks under established policies and procedures.
- Administer and monitor electronic communication reviews using the Smarsh platform, managing advisor and firm email compliance.
- Add, remove, and reconcile users on Smarsh to ensure accurate access and billing records.
- Track and update supervision review queues, troubleshoot archiving issues, and report review metrics.
- Perform email reviews under the direction of registered principals and assist with compliance documentation.
- Conduct administrative reviews such as gifts and gratuities logs, check/securities blotters, and data validation in client reports.
- Assist in maintaining department metrics, testing logs, and quarterly oversight reports.
- Collaborate with Compliance, Legal, and Technology teams to address requests and ensure data accuracy.
- Support department initiatives, testing, and report generation.
What They're Looking For
- Bachelor's degree or equivalent experience in Finance, Business Administration, or related field preferred.
- 1 years of professional experience, ideally with exposure to financial services, brokerage, or compliance environments.
- SIE or Series 7 license preferred
- Strong Microsoft Excel proficiency and ability to work with large data sets.
- Technical aptitude with an interest in managing financial systems and compliance technology platforms.
- Excellent attention to detail, organization, and communication skills.
- Ability to work effectively in a structured, fast-paced environment while learning new systems.
Why You'll Love It There
- This is a growth-focused role with a clear professional development path. You'll enjoy:
- Full health, vision, and dental coverage
- 401(k) plan and voluntary benefits (legal services, insurance options, etc.)
- Support for professional licensing and continued education
- Collaborative, mentorship-driven environment with opportunities for advancement
- A mission-driven culture centered on service, accountability, and teamwork
MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department
Salary : $62,000 - $65,000