87 applicants
Larson Maddox · 2 days ago
Compliance Supervision Associate
United States
Full-time
Remote
Mid, Senior Level
5+ years exp
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Maximize your interview chancesProfessional Services
Hiring Manager
Caroline O'Connell
Insider Connection @Larson Maddox
Responsibilities
Ensure activities comply with FINRA, SEC, and other regulations.
Review trades, account forms, and communications.
Conduct internal audits.
Assist with regulatory examinations and implement corrective actions.
Update compliance policies.
Train employees on compliance procedures.
Maintain compliance records.
Prepare reports for senior management.
Identify and mitigate compliance risks.
Qualification
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Required
Bachelor’s degree in Finance, Business, Law, or related field
5+ years in financial services compliance (RIA/broker-dealer preferred)
FINRA Series 24 certification required
Strong knowledge of FINRA, SEC regulations
Excellent analytical, communication, and problem-solving skills
High ethical standards
Benefits
Professional development opportunities
Company
Larson Maddox
We understand that our clients are seeking much more in a talent partner than just securing headcount.
1,001-5,000 employees
Funding
Current Stage
Late StageCompany data provided by crunchbase
