GWN Securities, Inc. · 2 days ago
B/D RIA Compliance Associate
Palm Beach Gardens, FL
Full-time
Onsite
Entry Level
1+ years expGWN Securities, Inc. is a financial services firm, and they are seeking a Compliance Associate to support their Compliance Department. This role involves ensuring that marketing materials and client communications comply with regulatory requirements and internal policies.
BankingFinancial ServicesLife InsuranceWealth Management
Responsibilities
Review and pre-approve advertising, marketing materials, and client communications for compliance with FINRA, SEC, and firm standards
Assist with the preparation, maintenance, and review of client disclosures and regulatory documentation
Support ongoing compliance monitoring and testing related to advertising, disclosures, and communications
Assist with responses to regulatory inquiries and examinations by gathering documentation and supporting materials
Support the tracking and documentation of client complaints and related compliance records
Maintain compliance logs, approvals, and records in accordance with recordkeeping and retention requirements
Partner with marketing, operations, and business teams to ensure compliance requirements are understood and followed
Escalate potential compliance issues to the Compliance Supervisor as appropriate
Assist with compliance projects, regulatory filings, and special initiatives as assigned
Qualification
Required
1–3 years of experience in financial services, compliance, marketing review, or a related operational role
Basic understanding of Broker-Dealer and/or Investment Adviser regulatory requirements, with emphasis on advertising and communications
Strong written and verbal communication skills with exceptional attention to detail
Strong organizational skills and ability to manage multiple tasks and deadlines
Ability to analyze materials for compliance with regulatory and firm standards
Proficiency in Microsoft Office and ability to learn internal systems and compliance platforms
Preferred
Series 7 and Series 24 licenses (preferred)
Experience reviewing advertising, marketing materials, or client communications in a regulated environment
Familiarity with FINRA and SEC advertising and disclosure requirements
Professional, collaborative, and detail-oriented work style
Ability to work effectively in a fast-paced, deadline-driven environment
Benefits
Company-paid medical insurance for employee and family
Company-paid long-term disability (LTD) insurance
Company-paid life insurance (3x annual salary)
Four (4) weeks of paid time off (PTO)
Optional employee-paid dental coverage
Optional employee-paid short-term disability (STD) insurance
Company
GWN Securities, Inc.
GWN Securities, Inc. is a financial services company based in Palm Beach Gardens, Florida.
51-200 employees
Funding
Current Stage
Growth StageRecent News
FinTech Futures
2024-12-12
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