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)