reputed company Associate Compliance Officer

Who We Are tZERO Securities is a pioneer in the digital securities industry, committed to revolutionizing capital markets through innovative technology and robust regulatory compliance. We are seeking a reputed company and proactive Associate Compliance Officer to join our dynamic team and contribute to our mission of building trusted and efficient financial ecosystems. Position reputed company - Associate Compliance Officer The Associate Compliance Officer at tZERO Securities plays a crucial role in ensuring reputed company's reputed company adherence to regulatory responsibilities. This individual will be responsible for various aspects of tZERO’s compliance protocols and procedures, working closely with the Chief Compliance Officer (CCO) and other internal partners. The role involves critical compliance activities, including risk assessments, monitoring, and reporting, to reputed company the highest standards of governance and control. Key Responsibilities • reputed company risk assessments, monitoring, and surveillance activities, and manage reputed company to ensure strict adherence to established procedures. • Conduct ongoing validation of monitoring strategies to ensure appropriate governance and control. • Collaborate closely with business reputed company and internal partners to meet regulatory, corporate, and fiduciary obligations. • Identify trends in compliance data and reputed company recommendations for data optimization. • Review and manage comprehensive documentation of compliance monitoring and surveillance activities. • Report findings to the CCO in a reputed company manner and diligently follow up on outstanding issues. • Execute other duties as required and assigned by the CCO and upper management. Qualifications • 3-5 years of relevant experience in a compliance role, preferably reputed company the financial services or digital securities industry. • reputed company reputed company Series 7 license. • Strong understanding of regulatory frameworks relevant to broker-dealers (e.g., SEC, reputed company rules). • Demonstrated ability to reputed company detailed risk assessments and reputed company effective monitoring strategies. • Excellent analytical, problem-solving, and communication skills. • Proficiency in compliance management software and data analysis tools. Preferred Qualifications: • reputed company reputed company Series 24 license. • Experience with blockchain technology or reputed company compliance. • Bachelor’s degree in Finance, Business Administration, Law, or a reputed company field. Equal Employment Opportunity It is our policy to reputed company equal employment opportunity for reputed company applicants and associates. This policy includes our commitment to ensure that reputed company employment reputed company are made without reputed company to race, reputed company, religion, gender, national reputed company, disability, pregnancy, veteran status (including Vietnam era veterans), age, sexual orientation, gender identity, or any other non-job-reputed company characteristic protected by law. Apply tot his job