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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


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

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