Job Description
Join our dynamic team as an Entry-Level Compliance Officer and launch your career in regulatory oversight! We're seeking motivated individuals with no prior experience to learn essential compliance frameworks while supporting our financial institution's integrity. You'll receive comprehensive training on federal regulations, risk assessment protocols, and ethical standards in a collaborative environment. This role offers structured mentorship and clear pathways for professional growth within our expanding compliance division.
Responsibilities
- Monitor regulatory updates and ensure adherence to FINRA, SEC, and state compliance requirements
- Assist in maintaining accurate compliance documentation and audit trails
- Support internal investigations and incident response procedures
- Conduct routine reviews of client accounts for suspicious activity
- Collaborate with departments to implement compliance policies
- Prepare periodic compliance reports for senior management
- Participate in training sessions to stay current on regulatory changes
Qualifications
- Associate's degree or equivalent experience (recent graduates encouraged)
- Strong attention to detail and organizational skills
- Basic proficiency in Microsoft Office Suite
- Excellent written and verbal communication abilities
- Ability to handle confidential information with discretion
- Willingness to obtain FINRA Series 63/66 licenses (company-sponsored)
- Problem-solving mindset and adaptability to evolving regulations