Registered Investment Advisory Firm located in Fort Lauderdale, FL seeks local area full-time Compliance Associate with 3+ years of compliance and/or advertising experience in the Investment Advisory or Brokerage industry.
Candidate must have a have high attention to detail and the ability to work independently, think critically, and exercise good judgment. Our firm compliance and operations departments work together, therefore knowledge on the operations side is a plus.
This is an in office position (no remote or hybrid schedule).
Duties include, but not limited to:
- Assist the CCO and perform daily compliance duties like Advertising Social Media and Website Review
- Help collect documentation and data for required compliance document retention on DropBox
- Assist Representatives and different departments with questions
- Help and participate in projects when needed with the operations team
- Help with reviewing daily compliance reports if needed
- Perform other duties as assigned or required
Required Skills and Qualifications
- Bachelor’s Degree from an accredited College or University, or equivalent work experience
- Previous Financial Industry experience
- Friendly professional demeanor and ability to excel in a team-oriented environment
- Strong proficiency with Microsoft Office suite
- Strong analytical and detail-oriented aptitude; a high degree of accuracy is required
- Excellent communication and organizational skills
- Ability to manage time effectively, set priorities and meet deadlines
- Ability to learn and adapt to change
- Desire/ability to work successfully in a small team environment
Salary Range 55K-65K
Excellent benefit packages which includes Health, Dental, Vision, Life Insurance and 401K Plan with employer match and paid time off.