Compliance Associate - Dallas, TX

Compliance Associate

A well-established broker-dealer is looking for a proactive and detail-oriented Compliance Associate to join their team. This role involves working independently and taking the lead on projects that help reduce regulatory and operational risks.

What You’ll Do:

Act as the main point of contact for the SEC, state, and international regulators – coordinate and respond to inquiries and exams, and prepare reports.

Handle registration and licensing requests alongside the compliance team.

Support core compliance tasks like:

Reviewing employee trading activity and account statements

Overseeing outside business activity and other employee disclosures

Monitoring gifts, entertainment, and communication (e.g., email reviews)

Managing regulatory filings and disclosures for investment advisors

Identify ways to improve and streamline compliance processes—think automation and tech upgrades.

Investigate compliance issues, recommend solutions, and escalate when needed.

Prepare and submit quarterly and annual regulatory filings.

What You’ll Need:

Bachelor’s degree in business or a related field.

3+ years of experience in financial services, ideally within broker-dealer compliance.

SIE and Series 7 preferred (or ability to obtain them).

Experience with compliance systems like MCO (MyComplianceOffice) is a plus.

Familiarity with regulatory systems like FINRA Gateway and NFA Online Registration System is also a bonus.