Job Description

Position Overview

We are seeking a detail-oriented and proactive Broker Dealer Compliance Associate to support the compliance and supervisory functions of a growing wealth management and broker-dealer platform. This individual will play a key role in ensuring adherence to FINRA, SEC, and internal regulatory requirements while supporting advisors, operations, and management teams across the business.

Essential Duties & Responsibilities

• Assist with day-to-day compliance oversight for broker-dealer operations and registered representatives
• Review and monitor new account documentation, account maintenance requests, and money movement transactions for regulatory compliance
• Support AML/KYC, CIP, and suitability review processes in accordance with FINRA and SEC regulations
• Monitor transactions for potential compliance concerns, exceptions, and escalations
• Conduct surveillance reviews related to trading activity, outside business activities, gifts & entertainment, and employee accounts
• Assist with branch audits, internal reviews, and regulatory examinations
• Maintain compliance records, reports, and required documentation for audits and examinations
• Partner with operations, advisors, and management teams to resolve compliance-related issues
• Support licensing, registration, and continuing education requirements for registered representatives
• Assist in updating policies and procedures to ensure alignment with regulatory changes
• Respond to compliance inquiries from internal teams and provide guidance on firm policies and procedures
• Participate in special projects related to compliance enhancements and operational improvements

Qualifications

• Bachelor’s degree preferred
• 3+ years of compliance experience within a broker-dealer, wealth management firm, private bank, or financial services environment
• Active FINRA Series 7 license is a pplus
• Additional licenses such as Series 63, 66, or 24 are a plus
• Strong understanding of FINRA, SEC, AML, and KYC regulatory requirements
• Experience reviewing account opening documentation, maintenance requests, and operational transactions
• Strong attention to detail and ability to manage multiple priorities in a fast-paced environment
• Excellent written and verbal communication skills
• Bilingual in English/Portuguese required
• Proficiency in Microsoft Office Suite and compliance monitoring systems

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