This job has closed.

Ascendo Resources · 1 day ago

Junior Compliance Associate

Fort Lauderdale, FL

Full-time

Onsite

New Grad, Entry Level

$55K/yr - $65K/yr

Ascendo Resources is a certified minority owned staffing firm seeking a detail-oriented and motivated Junior Compliance Analyst to support their regulatory compliance function within a financial services environment. The role involves assisting in ensuring the firm adheres to applicable laws, regulations, and internal policies while gaining hands-on experience with compliance monitoring activities.

Human ResourcesStaffing Agency

Responsibilities

Assist in monitoring and assessing compliance with applicable financial services regulations (e.g., SEC, FINRA, FCA, AML, KYC, or equivalent, depending on jurisdiction)

Support the development, maintenance, and review of compliance policies, procedures, and controls

Conduct periodic compliance testing, reviews, and surveillance under the direction of senior compliance staff

Assist with regulatory filings, reporting, and responses to regulatory inquiries or examinations

Help track and document regulatory changes and support impact assessments

Review client documentation and transactions for compliance with regulatory and internal requirements

Maintain accurate compliance records, logs, and documentation

Escalate potential compliance issues or breaches to senior team members in a timely manner

Collaborate with business, risk, and legal teams as needed

Qualification

Compliance principlesFinancial services regulationsMicrosoft OfficeAnalytical skillsAttention to detailOrganizational skillsWritten communicationVerbal communication