Compliance Associate

Compliance Associate

As a Compliance Associate, you will support our compliance team in ensuring adherence to industry regulations, company policies, and best practices. This entry-level role is an excellent opportunity for someone interested in the financial services industry and regulatory compliance. You will gain valuable experience working with various state and federal regulations, including those set by the SEC, FINRA, and state regulatory bodies.

Key Responsibilities:

• Maintain accurate records of compliance activities and documentation.
• Assist in reviewing and updating compliance policies and training materials.
• Assist in monitoring and maintaining compliance with federal and state regulatory requirements.
• Support the preparation of periodic audits and reviews of internal policies and procedures.
• Support due diligence processes for new and existing clients.
• Assist with responses to internal compliance inquiries.
• Provide administrative support to the compliance department, including data entry, file organization, and reporting.
• Assist in coordinating compliance training sessions for employees.

Qualifications and Skills:

• Bachelor’s degree in finance, business administration, legal studies, accounting or a relevant field.
• Strong attention to detail and organizational skills.
• Ability to handle confidential information with discretion.
• Excellent written and verbal communication skills.
• Interest in financial regulations, risk management, and ethical business practices.
• Ability to work independently and collaboratively in a fast-paced environment.
• High level of attention to detail and analytical skills.
• Willingness to learn and focus on self-development.
• Ability to be prompt and efficient when carrying out tasks.
• Ability to work with others in a positive and constructive manner to promote compliance with firm policies and procedures, and applicable regulations and laws.
• Assist with compliance functions of the HBKS Wealth Advisors offices in Pennsylvania, Ohio, New York, New Jersey and Florida.
• Demonstrate a strong commitment to the firm.
• Willingness to pursue and complete compliance licensing requirements of the SIE, Series 7, Series 66 and Series 24 FINRA exams.
• This is an in-office position (no hybrid option offered).

Why Join Us?

• Opportunity to learn and grow within a leading wealth management firm.
• Competitive salary and benefits package.
• Professional development and career advancement opportunities.
• Supportive and collaborative work environment.
• Exposure to multi-state compliance regulations and industry best practices.

If you are a highly organized individual with an interest in financial compliance, we encourage you to apply!

Every employee works for HBKS Wealth Advisors, not just for a particular Managing Principal or department. Accordingly, employees are expected to act in the best interests of the firm, even if doing so requires actions or responsibilities not listed in the above job description. This job description is subject to revision by management when client service needs change.