Job Description

Job Description

Position Summary

The Broker-Dealer Compliance Testing Associate supports the firm’s compliance monitoring and testing program by evaluating adherence to applicable securities laws, regulations, internal policies, and supervisory procedures. This role helps assess the effectiveness of compliance controls, identify potential gaps or risks, and support remediation efforts across the broker-dealer business.

Key Responsibilities

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• Assist in executing the annual compliance testing and monitoring plan for the broker-dealer.
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• Conduct reviews of business activities, transactions, communications, and supervisory controls to assess compliance with regulatory requirements and firm policies.
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• Test compliance with applicable FINRA, SEC, and other regulatory rules, including but not limited to trading practices, communications, books and records, AML, suitability, and supervision.
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• Document testing procedures, workpapers, findings, and recommendations in a clear and organized manner.
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• Identify control weaknesses, compliance risks, and process improvement opportunities.
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• Track issues and remediation efforts to ensure timely resolution.
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• Prepare summaries and reports of testing results for compliance management and other stakeholders.
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Qualifications

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• Bachelor’s degree in Finance, Business, Accounting, Legal Studies, or a related field.
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• 2+ years of experience in broker-dealer compliance, compliance testing, internal audit, risk management, or a related control function.
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• Knowledge of broker-dealer regulatory frameworks, including SEC and FINRA rules.
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