Regulatory Compliance Associate - Broker-Dealer; FINRA/SEC
Job in
Fort Lauderdale, Broward County, Florida, 33336, USA
Listed on 2025-12-02
Listing for:
Ascendo Resources
Full Time
position Listed on 2025-12-02
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A financial services firm in Fort Lauderdale is looking for a Compliance Associate to aid the Chief Compliance Officer. The role involves maintaining compliance with FINRA/SEC regulations, monitoring employee activity, and providing training on compliance policies. The ideal candidate should have a degree in finance, business, or a related field, along with at least 2 years of compliance experience. This full-time position offers an excellent opportunity to develop compliance skills in a dynamic environment.
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Position Requirements
10+ Years
work experience
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