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Procyon · 6 days ago

Compliance Associate

Shelton, CT

Full-time

Onsite

Entry Level

$55K/yr - $60K/yr

2+ years exp

Procyon is a compliance-focused firm seeking a Compliance Associate to support the Chief Compliance Officer in overseeing its Compliance Program. The role involves reviewing business activities for compliance risks, developing key policies, and providing guidance on regulatory matters.

ConsultingFinancial ServicesRisk ManagementService IndustryWealth Management

Hiring Manager

Libby VanValin

Responsibilities

Responsible for completing a variety of weekly, monthly, quarterly and annual reviews and forensic tests to ensure compliance with policies and procedures

Assist in the development of the firm’s compliance policies and procedures

Assist with regulatory exams and interface with auditors, as necessary

Apprentice under the CCO in all areas of compliance to ensure all functions are being handled during vacations, leave, etc

Support the preparation of regulatory filings, disclosures, and audits

Keep up to date on industry rules and regulations to ensure the firm is in compliance with the latest requirements

Assist with employee and advisor onboarding and training programs to promote compliance awareness across the firm

Conduct routine reviews of marketing materials and social media content to ensure regulatory compliance

Assist in Annual Compliance Review

Complete assigned collateral duties as assigned

Qualification

Compliance experienceRegulationsSeries 65Compliance technology systemsInterpersonal skillsOrganizational skillsCommunication skillsSelf-motivated

Required

Minimum two years of compliance or regulatory experience within RIA, BD, or financial services firms preferred-specifically with investment advisory compliance

Knowledge of relevant state and federal regulations (e.g., 1940 Investment Advisers Act, SEC rules, FINRA)

Excellent attention to detail, strong organizational skills, and the ability to manage multiple priorities in a fast-paced environment

Exceptional interpersonal and communication skills, with the ability to interface with employees at all levels of the firm

Strong work ethic, self-motivated, and goal oriented

Ability to follow directions and work independently, take ownership of assigned tasks, and think for themselves

Ability to enforce the firm's policies and procedures and guide others in a positive way

Communicate clearly, both in writing and verbally, and can explain complex topics simply

Preferred

Series 65 or 66 or similar designations or certifications, or a desire to pursue them, preferred

Experience with compliance technology systems, trade surveillance tools, or regulatory filings preferred

While not a requirement, familiarity with our tech stack is a plus

Custodians Charles Schwab and Fidelity

CRM Salesforce

Performance Reporting Black Diamond

ComplianceAdvisor Cloud 360, MyComplianceOffice, Global Relay

Company

Procyon

Procyon is an independent, employee-owned financial advisory firm with a dual focus on: • Helping institutions prudently manage the retirement plans, endowments and foundations under their stewardship.

Founded in 2017

Shelton, Connecticut, USA

51-200 employees