• Monitor and ensure compliance with financial regulations
• Assist in the development and implementation of compliance programs
• Provide support in regulatory investigations and audits
• Maintain thorough records of compliance-related documentation
• Collaborate with team members to identify and rectify compliance issues

Requirements

• FINRA Licensed Series 6 or 7 is required
• Educational Qualifications: High School Diploma or equivalent
• Experience Level: 0–2 years
• Skills and Competencies: Strong analytical and problem-solving skills
• Qualities and Traits: Detail-oriented with strong integrity
• Responsibilities and Duties: Ability to work collaboratively in a team environment
• Working Conditions: Office-based with some remote work flexibility

Required score and processes

• Talkpush registration
• Talkscore assessment
• HR Interview
• Ops Interview
• Job Offer