We are looking for someone to join and support our Compliance department and help us stay abreast of best practices and adhere to compliance regulations.
This position will assist with implementing compliance programs, conducting compliance reviews and audits, reviewing marketing materials, and maintaining custodian access. This position will also provide support in the preparation of compliance documentation, assist in training sessions, and help with SEC regulations.
We are looking for a detail-oriented and proactive professional with 1-2 years of experience in financial compliance, banking, or a related field.
Responsibilities:
- Assist in filing and maintaining employee-related compliance documents and records.
- Maintain and manage custodian access and permissions to sensitive information and systems.
- Maintain accurate and up-to-date records of compliance activities and findings.
- Review and approve marketing and advertising materials to ensure regulatory compliance.
- Assist in the preparation and delivery of compliance training sessions for employees.
- Assist in routine compliance reviews and audits to ensure adherence to internal and external regulations.
- Perform additional duties as assigned, including assistance with various projects.
Qualifications:
- Bachelor’s degree in business, finance or similar field required.
- Prior (1-2 years) financial, client services, banking, or a related field is required. Previous financial compliance experience is preferred.
- Prior experience working in Wealth Management or a RIA is a plus.
- Strong attention-to-detail and organizational skills.
- Excellent verbal and written communication skills. Must be able to provide clear, and concise communications and manage internal and external messages.
- Ability to work independently and as part of a team.
- Ability to handle sensitive information with discretion and maintain confidentiality.
- Must be able to multitask and prioritize fluctuating workloads. Capable of managing time and handling multiple demands and competing priorities.
Additional Details:
Salary Range: $55,000 – $65,000 per year
Benefits package includes health (medical, dental, and vision insurance), FSA and/or HSA plans, group and voluntary life/accidental death & dismemberment (AD&D) insurance, long-term disability insurance (LTD), a 401(k) plan with an enhanced employer match, including pre-tax, Roth and after-tax contributions, as well as generous holiday and time off policies.
Interested?
Candidates should submit a resume to careers@purefinancial.com.
