Senior Compliance Associate
Company: VirtualVocations
Location: Madison
Posted on: February 4, 2025
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Job Description:
A company is looking for a Sr. Equities Compliance Associate to
support compliance with regulatory requirements.
Key Responsibilities
Assist in executing compliance and risk assessment programs for the
Broker Dealer
Oversee daily flags in KYC, CIP, Suitability, PEP, and Sanctions,
and identify policy enhancements
Prepare the Annual CEO Certification report and manage compliance
reviews of marketing materials
Required Qualifications
Series 7 and 24 qualifications with the ability to obtain others
quickly
Minimum of 5 years of experience in a retail fintech Broker Dealer
compliance department
Comprehensive understanding of applicable laws and regulations
Previous experience implementing a Broker Dealer compliance
program
Ability to manage multiple complex projects independently
Keywords: VirtualVocations, Milwaukee , Senior Compliance Associate, Other , Madison, Wisconsin
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