Compliance Associate (Junior)

📋 Description

• Support day-to-day compliance duties in branch, AML, and interdepartmental areas.
• Assist with disclosure processes, customer complaints, and related projects as needed.
• Partner with wealth management and capital markets teams to ensure regulatory alignment.
• Participate in branch examinations and monitor compliance with Firm policies.

🎯 Requirements

• Bachelor’s degree in business, finance, or related field, or relevant experience.
• Basic knowledge of financial markets and investment products; willingness to learn more.
• Willing to obtain FINRA SIE exam within 6 months of hire date.
• Proficiency with Microsoft Office; strong written and interpersonal skills.
• Ability to travel up to 10% of the time.
• Ability to communicate Firm policies and regulations clearly.

🎁 Benefits

• Medical, Dental and Vision coverage.
• Company 401(k) and ESOP contributions.
• Generous leave: sick, vacation, and parental.
• Paid holidays and professional development opportunities.
• Tuition reimbursement and insurance discounts.