What are the responsibilities and job description for the Compliance Associate position at Phyton Talent Advisors?
Compliance Associate
Location: Boca Raton, FL
Work Arrangement: Fully On-Site
Industry: Financial Services / Broker-Dealer
About the Opportunity:
A growing broker-dealer is looking to add a Compliance Associate to its team in Boca Raton, FL. This is an opportunity to join a developing organization and gain broad exposure to the firm's day-to-day compliance program while working closely with business, operations, and supervisory
teams.
The ideal candidate will have experience within a FINRA-regulated broker-dealer environment and a solid understanding of regulatory requirements. Active Series 7 and Series 24 licenses are required.
Key Responsibilities:
- Support the firm's day-to-day compliance program and regulatory requirements.
- Monitor business activities for compliance with FINRA, SEC, and other applicable rules and regulations.
- Assist with compliance reviews, testing, surveillance, and monitoring activities.
- Help maintain and update written supervisory procedures and compliance policies.
- Partner with business and operations teams to identify and address potential compliance issues.
- Assist with regulatory filings, examinations, audits, and information requests.
- Review transactions, account activity, communications, and other business activities for potential regulatory concerns.
- Assist with identifying compliance risks and implementing appropriate controls and process improvements.
- Maintain accurate compliance records and documentation.
- Stay informed on regulatory developments and help assess their impact on the business.
- Support compliance training and other internal initiatives as needed.
Qualifications:
- Active Series 7 and Series 24 licenses required.
- 5 years of relevant compliance experience within a broker-dealer or regulated financial services environment.
- Working knowledge of FINRA, SEC, and broker-dealer regulatory requirements.
- Experience with compliance monitoring, surveillance, testing, or supervisory procedures.
- Strong attention to detail and ability to identify potential regulatory and operational risks.
- Excellent written and verbal communication skills.
- Ability to work independently while collaborating effectively with internal teams.
- Bachelor's degree preferred.
Why Consider This Opportunity?
- Join a growing broker-dealer with an opportunity to make an impact.
- Gain broad exposure to broker-dealer compliance and regulatory functions.