Senior Compliance Associate

THE OPPORTUNITY

We're seeking a Senior Compliance Associate with a robust background in securities compliance to join our wealth management client. The ideal candidate will be a detail-oriented, analytical thinker who can work both independently and collaboratively to maintain and enhance our firm's compliance program, and be able to communicate fluently with colleagues and clients in Spanish speaking countries. This role is perfect for a proactive individual with a deep understanding of the regulatory landscape for broker-dealers and investment advisers.

HOW YOU WILL MAKE AN IMPACT

• Policy and Procedure Management: Assist in the development, implementation, and maintenance of compliance policies and procedures in line with FINRA, SEC, and state regulations.
• Regulatory Filings: Prepare and submit regulatory filings, including but not limited to, Form ADV and Form BD amendments.
• Examinations and Audits: Act as a key point of contact and support during regulatory examinations and internal audits.
• Communication: Serve as a liaison between the compliance department and other business units, providing guidance on regulatory requirements and best practices.
• Advertising and Marketing Review: Review and approve marketing materials, advertisements, and other communications to ensure compliance with FINRA and SEC rules.
• Training and Education: Help develop and deliver compliance training programs for employees on topics such as anti-money laundering, cybersecurity, and regulatory updates.
• Monitoring and Surveillance: Conduct regular surveillance and monitoring of trading activities, electronic communications, and other activities to detect and prevent potential violations.
• Issue Resolution: Investigate and resolve compliance-related issues, escalating complex matters to senior management as needed.

WHAT YOU BRING TO THE TABLE

• Business Fluency: Must be fully business proficient in both English and Spanish. You'll need to communicate effectively in both languages, both orally and in writing, to interact with clients, regulators, and employees across different regions.
• Regulatory Expertise: Strong working knowledge of FINRA Rule 3310 (Anti-Money Laundering Compliance Program), FINRA Rule 3120 (Supervisory Control System), and SEC Rule 206(4)-7 (Investment Adviser Compliance Programs) is essential.
• Licensing: A valid FINRA Series 7 is required, and Series 24 license is preferred.
• Analytical Skills: Proven ability to analyze complex regulatory requirements and apply them to business operations.
• Attention to Detail: Exceptional attention to detail and a high degree of accuracy in all work.
• Experience: A minimum of 5 years of experience in a compliance role at a securities broker-dealer or investment adviser.

COST TO ENTER THE GAME

• Bachelor's degree in Finance, Economics, or a related field.
• FINRA Series 7 is required, and Series 24 license preferred.
• Excellent written and verbal communication skills in both English and Spanish.
• Proficiency with compliance software and Microsoft Office Suite.

WHY WOULD YOU JOIN OUR CLIENT?

We offer a dynamic and supportive work environment where you can make a real impact. You'll be part of a collaborative team that is dedicated to upholding the highest standards of integrity and regulatory compliance. We provide competitive compensation, comprehensive benefits, and opportunities for professional growth. 📈

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All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

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