Broker Dealer Compliance Associate

2–5 years in compliance, legal, risk, or operational functions, ideally within fintech
Working knowledge of FINRA and SEC rules and regulations
Familiarity with regulatory frameworks applicable to broker-dealers and/or RIAs
Excellent written and verbal communication skills, with experience drafting policies, procedures, or regulatory responses
Ability to manage multiple priorities in a fast-paced environment and collaborate across cross-functional teams
This role requires either a Series 7 and Series 24 or a Series 14 license. If you do not currently hold the required licenses, you must be willing to obtain them within three (3) months of your hire date.

Serve as a key point of contact for licensing and registration processes, including gathering required documentation, preparing and submitting filings via FINRA Firm Gateway, and managing related administrative workflows
Assist in the development and delivery of compliance training programs for employees at all levels, including new hire onboarding and ongoing education
Act as the primary point of contact for compliance vendors and technology platforms, supporting vendor oversight and issue resolution
Assist with the review and tracking of customer complaints, including support for quarterly regulatory complaint filings
Conduct routine communications and trade surveillance, helping to identify potential issues and escalate as needed
Coordinate regulatory responses and support data gathering efforts for examinations, inquiries, and other regulatory matters
Contribute to the review of marketing materials for compliance with applicable regulatory standards
Support the broader compliance team as a generalist, taking on a variety of tasks with curiosity, ownership, and a collaborative mindset

Experience with Salesforce and FINRA Gateway
Familiarity with how RIAs operate and are regulated
Prior experience working in a startup or high-growth environment, with comfort navigating ambiguity and change