What are the responsibilities and job description for the Compliance Associate/Paralegal position at Realta Wealth?
Compliance Associate/Paralegal
Position Summary
The Compliance Associate supports the firm’s Compliance and Legal functions by overseeing FINRA licensing and registration activities, preparing and filing regulatory forms, and providing administrative and case-management support for FINRA examinations, inquiries, and arbitrations. This role requires strong attention to detail, sound judgment, and the ability to manage sensitive regulatory and legal matters in a confidential and professional manner.
This role is on-site at either our Minneapolis, MN or Wilmington, DE office.
Key Responsibilities
- Oversee and administer FINRA licensing and registration processes for registered representatives and principals, including filing and monitoring Form U4, U5, and amendments through FINRA Gateway / Web CRD.
- Maintain accurate registration records, track renewal deadlines, exam windows, continuing education requirements, and jurisdictional filings.
- Serve as a primary point of contact for licensing-related inquiries from advisors, supervisors, and internal stakeholders.
- Prepare documentation and organize responses for FINRA and SEC examinations, regulatory inquiries, and routine compliance reviews.
- Provide administrative and coordination support for FINRA arbitration and mediation matters, including document collection, case tracking, scheduling, and correspondence with outside counsel as needed.
- Assist with maintaining compliance calendars, policies, procedures, and audit documentation.
- Support the onboarding and termination process for registered personnel to ensure timely and accurate regulatory filings.
- Collaborate with Compliance leadership on special projects, risk assessments, and control enhancements.
- Ensure all work is performed in accordance with regulatory requirements and firm standards of professionalism, confidentiality, and accuracy.
Qualifications
- Bachelor’s degree or paralegal certification required; prior paralegal or legal support experience preferred.
- 2 years of experience in a broker/dealer, RIA, law firm, or financial-services compliance environment (FINRA-regulated experience strongly preferred).
- Familiarity with FINRA Web CRD / Gateway, Forms U4 and U5, and licensing/registration workflows.
- Strong organizational skills with the ability to manage multiple deadlines and regulatory tasks simultaneously.
- Excellent written and verbal communication skills and high attention to detail.
- Ability to handle confidential and sensitive information with discretion.
- Proficiency with Microsoft Office and document-management tools.
Benefits & Compensation
- The salary range for this role is $75,000-$85,000
- Benefits include: PTO, Medical, Dental/Vision, 401K with match, FSA, and other fringe benefits.
Pay: $75,000.00 - $85,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
Work Location: In person
Salary : $75,000 - $85,000