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Compliance Associate II

Company: VirtualVocations
Location: Nashville
Posted on: February 10, 2024

Job Description:

A company is looking for a Compliance Associate II remote position in North America.
Key Responsibilities:

Review and investigate suspicious or non-compliant behavior in daily trading activity
Ensure compliance with FINRA regulations and internal policies for advertising materials
Assist in preparing and submitting regulatory filings and reports

Qualifications:

Bachelor's degree in Finance, Business, Law, or a related field
FINRA Series 7 and 24 licenses are required
Minimum of 5 years of relevant compliance experience in a FINRA regulated broker dealer or similar financial institution
Strong understanding of FINRA rules and regulations
Basic knowledge of AML laws and regulations

Keywords: VirtualVocations, Nashville , Compliance Associate II, Other , Nashville, Tennessee

Click here to apply!

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