Senior Compliance Associate - San Francisco California

Company: VirtualVocations
Location: San Francisco, California
Posted On: 02/06/2025

A company is looking for a Sr. Equities Compliance Associate to support compliance with regulatory requirements.



Key Responsibilities

Assist in executing compliance and risk assessment programs for the Broker Dealer
Oversee daily flags in KYC, CIP, Suitability, PEP, and Sanctions, and identify policy enhancements
Prepare the Annual CEO Certification report and manage compliance reviews of marketing materials


Required Qualifications

Series 7 and 24 qualifications with the ability to obtain others quickly
Minimum of 5 years of experience in a retail fintech Broker Dealer compliance department
Comprehensive understanding of applicable laws and regulations
Previous experience implementing a Broker Dealer compliance program
Ability to manage multiple complex projects independently More...

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