Regulatory Affairs Specialist

5 days ago


North Little Rock, Arkansas, United States Sowell Management Full time
About the Role

The Compliance Associate will play a crucial role in ensuring that all regulatory rules and regulations are complied with at all times.

This includes reviewing proposed advertising material, obtaining and reconciling reports, and filing Form U4/U5 filings and amendments.

In addition, the Compliance Associate will be responsible for maintaining financial advisor recruiting folders, monitoring continuing education for IARs, and maintaining trade error logs.

We offer a competitive benefits package, including health insurance, retirement savings plan, and paid time off.



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