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Compliance Associate

Company: VirtualVocations
Location: Davenport
Posted on: July 9, 2024

Job Description:

A company is looking for a Compliance Associate.



Key Responsibilities:

Draft broker-dealer policies and procedures
Ensure internal controls procedures are in place between Compliance and relevant departments
Conduct marketing and advertising reviews to ensure compliance with FINRA rules


Required Qualifications:

5+ years financial services experience with a Broker Dealer
FINRA Series 7 & 24 required
Experience drafting broker-dealer policies and procedures
Technical aptitude and experience collaborating with IT or Engineering departments
College degree in Economics, Finance, Accounting, Engineering, Computer Science, or related field

Keywords: VirtualVocations, Davenport , Compliance Associate, Other , Davenport, Iowa

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