Compliance Officer | Broker-Dealer | Los Angeles Los Angeles based Broker Dealer is looking for a Junior Compliance Associate to join their Century City location.
The role position will report directly to the CCO and will assist them with a broad range of compliance tasks.
Key Responsibilities
Assist with AML risk monitoring
Deal with regulatory inquiries/requests
Assist with the provision of training to employees.
Regular liaison with the CCO.
Assist with maintenance of relevant compliance registers, records and files.
client suitability review
Undertake operations and office administration tasks
Additional adhoc projects and work as requested by the CCO or Senior Management
Key Qualifications
3-5 years experience in the financial services industry.
Series 7 required, 24 preferred
High proficiency with desktop applications and MS Office suite of products is required.
Salary 40k – 50k depending on experience
Job Type: Full-time
Experience:
Finance: 3 years (Required)
Education:
High school or equivalent (Required)
License:
Series 7 License (Required)