Compliance Associate

4 days ago

Bellevue, United States SCS Full time

The Compliance Associate supports the Chief Compliance Officer in managing and overseeing compliance operations across all departments at SCS, including Wealth Management and Retirement. This role is crucial for assisting in daily compliance activities, regulatory liaison tasks, and compliance training to ensure adherence to financial regulations and company standards. Active FINRA licenses 6, 66, and 24 are required to meet regulatory requirements and support effective compliance management.



Applicants must be authorized to work for ANY employer in the U.S. We are unable to sponsor or take over sponsorship of an employment Visa at this time.



Equal Opportunity is Real Here

SCS embraces diversity and equal opportunity as essential to the core of who we are.

We are committed to building a team that represents a variety of backgrounds, perspectives,

and skills.


ESSENTIAL FUNCTIONS

  • Assist with daily compliance tasks using the OSJ Review Tool, including email screenings, trade blotter analysis, and reviews of solicited/unsolicited trades.
  • Help manage notifications that require supervisor approval, assist in marketing reviews, and handle incoming and outgoing correspondence.
  • Support the effective use of RIA Compliance Software.
  • Assist the Chief Compliance Officer in liaising with regulatory bodies such as the SEC, FINRA, and LPL, helping with filings, updates, and maintaining a compliance calendar.
  • Support in analyzing and resolving compliance issues as they arise.
  • Stay informed about the latest rules and regulations from various regulatory bodies and help implement necessary policy and procedure updates.
  • Assist in drafting, editing, and updating RIA compliance documents to reflect regulatory changes.
  • Contribute to identifying risks and establishing policies and procedures to address those risks, then supporting the implementation of these policies.
  • Assist in the testing and evaluation of the firm’s compliance practices to ensure adherence and effectiveness.
  • Provide support to Sales & Operations and other departments on compliance, supervision, management, and complaint issues.
  • Help develop and manage the compliance training program, including organizing training sessions for new and existing employees.
  • Remain current on regulatory and compliance issues and participate in continuing education programs.
  • Review advertising and marketing materials to ensure compliance with regulations.
  • Other duties as assigned.


KNOWLEDGE, SKILLS, AND ABILITIES:

  • 1 to 3 years of experience in compliance or related role, preferably with an SEC registered investment adviser.
  • Strong organizational skills, attention to detail, and a high degree of discretion.
  • Excellent communication abilities and the capacity to act as a liaison across various levels of the organization and with external partners.
  • Proficiency in office technology and software, with a knack for preparing intricate documents and presentations.
  • Proven ability to handle confidential information with discretion.
  • Forward looking thinker who actively seeks opportunities and proposes solutions.
  • Proficient in Microsoft Office Suite (Outlook, Word, Excel, and Power Point).


EDUCATION AND EXPERIENCE:

  • Required: Bachelor’s degree
  • Required: FINRA Series 7, 66, & 24


WORK ENVIRONMENT/PHYSICAL DEMANDS


Work in office daily from 8:00am-4:30pm

Prolonged periods sitting at a desk and working on a computer.

Must be able to lift up to 15 pounds at times.

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