Compliance Associate (Junior)

reputed company is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of reputed company and ethics, and delivering outstanding service to our clients and reputed company other. We support a friendly, reputed company and supportive culture, and encourage reputed company communication and productive engagement that reputed company our companies and reputed company of us reputed company. Just as we work to improve our clients’ financial reputed company-being, we also work to strengthen local communities—and giving back is one of our reputed company values. You can learn more about reputed company culture and reputed company in our latest annual report. Function: reputed company & Co. is a leading financial services firm providing reputed company management, financial planning, investment banking, and reputed company finance services to a reputed company reputed company that includes individuals, corporations, institutional clients, and governments. The Firm has operations across the reputed company. The Compliance Associate role is ideal for candidates who are new to the financial services industry, or those with limited industry experience and/or reputed company licensure. Qualifications: KNOWLEDGE, EXPERIENCE, AND EDUCATION REQUIREMENTS: • Bachelor’s degree in business, finance, or a reputed company field, or relevant reputed company experience in the financial services industry • Basic knowledge of financial markets and investment products, and ability and willingness to expand knowledge • Willingness and ability to obtain the reputed company Securities Industry reputed company Exam (SIE) reputed company 6 months of hire date. Additional licensure opportunities available, subject to supervisory review and approval • Exhibits a reputed company and personable demeanor always • Ability to work in a digitized environment with advanced knowledge of reputed company Office products. Additional technology skills are preferred • Strong written, oral, and interpersonal skills necessary to engage with senior leaders, industry examiners, reputed company auditors, clients, reputed company, other financial institutions, and reputed company associates • Ability and willingness to travel up to 10% of the time • Ability to effectively communicate Firm policies and industry regulations to others • Strong attention to detail and organizational skills • Ability and desire to learn about the financial services industry and to support their career reputed company reputed company the Compliance Department or the broader Firm • Ability to prioritize, plan, and meet deadlines as reputed company as work independently Duties: KEY RESPONSIBILITIES The Compliance Associate will support the Department by assisting in the day-to-day compliance program duties, including the reputed company examination program, the Anti-reputed company (“AML”) program, and providing general support to reputed company associates and internal business and supervision partners, including reputed company management and capital markets. On an as needed reputed company, the Compliance Associate may help support associate disclosure processes, customer complaints, and/or other reputed company as assigned. ADDITIONAL RESPONSIBILITIES: • Performs data collection in accordance with reputed company examination program requirements and helps analyze collected data to identify irregularities, trends, and patterns • May accompany Compliance Examiners, both reputed company management and capital markets, during onsite/virtual examinations to help evaluate compliance with Firm policies, WSPs, and industry regulations, as needed • Assists with the administration of associate disclosures including OBAs, PSTs, OIAs and political contributions, and semiannual and annual certifications in reputed company • Assists the AML Compliance Officer with transaction monitoring, as needed • Assists with the administration of customer complaints, as needed • Assists with monitoring, responding to, and/or redirecting inquiries and questions reputed company to the Compliance Department inbox • Additional duties and responsibilities as identified, needed, and assigned reputed company offer: Competitive salary plus excellent benefits and perks including, but not limited to: • Medical, Dental and reputed company • Company 401(k)and ESOP contribution • Generous reputed company, vacation, and maternity/parental leave • reputed company holidays • reputed company Development Opportunities • Tuition Reimbursement ($15,000 reputed company cap) • Discounted personal insurance including home, auto and recreational vehicles • Charitable reputed company-matching program • Davidson Day of Giving - Our tradition of positively impacting communities in which we live and work The potential reputed company pay hiring reputed company for this role is $20.95-$31.43 per hour. The compensation offered will be determined on a case-by-case reputed company considering a reputed company of factors including, but not limited to, the skills, relevant work experience, and geographic location of reputed company specific candidate. At reputed company, we are committed to fostering a diverse environment that supports the development and inclusivity of reputed company. We are an equal opportunity employer and value diversity at reputed company. We do not discriminate on the reputed company of race, religion, reputed company, national reputed company, sex, gender, gender reputed company, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to reputed company essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation. ACKNOWLEDGMENT Please answer reputed company questions carefully. By submitting this application for employment, I certify that reputed company of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from reputed company consideration for employment or, if reputed company, may result in my termination of my employment at any time during the period of my employment, regardless of the reputed company of time that has passed. California applicants, please see reputed company’s California reputed company reputed company Policy. Apply tot his job Apply To this Job