Supporting compliance initiatives, the full-time State Licensed Compliance Associate will manage compliance and risk assessment programs, oversee daily compliance flags, and ensure adherence to relevant regulations in a remote setting. Key responsibilities Assist in executing compliance and risk assessment programs, including testing and monitoring adherence to laws and regulations Oversee daily compliance flags and identify enhancements to policies and procedures while maintaining awareness of regulatory developments Prepare the Annual CEO Certification report and support compliance program enhancements in response to evolving regulatory requirements Required qualifications Series 7 and 24 qualifications, with the ability to obtain additional certifications quickly A minimum of 5 years of experience in a retail fintech Broker Dealer compliance department Comprehensive understanding of applicable laws, regulations, and industry practices Previous experience in implementing a Broker Dealer compliance program Ability to manage multiple complex projects independently and strategically
State Licensed Compliance Associate in workfromhome at Unknown Company
This position is listed as full time and able to be worked remotely.