Compliance and Operations Associate

Location: Milwaukee WI

Job Type: Full-Time

Position Overview:

We are seeking a highly organized and detail-oriented Compliance and Operations Associate to join our dynamic team. In this role, you will be responsible for supporting both compliance-related tasks and operational functions to ensure the smooth onboarding of new advisors, as well as maintaining ongoing support for existing financial/wealth management advisors. You will work closely with both the compliance and operations teams to ensure that all activities are in line with regulatory standards while facilitating efficient advisor processes.

Key Responsibilities:

Compliance:

• Assist in ensuring adherence to industry regulations and internal policies by advising and guiding advisors through compliance protocols as well as maintaining compliance queues.
• Support the review and monitoring of advisor activities to ensure compliance with relevant financial regulations and firm policies.
• Assist in the preparation of compliance audits and reports, addressing potential issues proactively.
• Help maintain accurate records of advisor licensing, continuing education, and other compliance documentation.
• Stay up to date with regulatory changes implemented by the broker dealer and assist in updating/communicating internal procedures accordingly.

Operations:

• Manage the onboarding process for new advisors, ensuring all necessary documentation is collected and that compliance requirements are met.
• Provide day-to-day operational support to advisors, including account setup, system access, and training on relevant tools and processes.
• Serve as a point of contact for advisors, responding to inquiries, troubleshooting issues, and providing guidance as needed serving as liaison between advisors and back office personnel.
• Collaborate with various departments to ensure seamless integration and implementation of new advisors into the firm’s operations.
• Assist with ongoing training for advisors to ensure they remain up-to-date with internal processes and compliance requirements.

Skills & Qualifications:

• FINRA Series 7 and 66 preferred (or equal to same) with willingness to obtain along with Series 24 within 1 year.
• 1-3 years of experience in compliance, operations, or a related role within the financial services industry preferred
• Strong knowledge of industry regulations (such as FINRA, SEC) and the ability to interpret and apply them.
• Detail-oriented with excellent organizational and time management skills.
• Strong communication skills, both written and verbal, with the ability to interact effectively with internal teams and external advisors.
• Proficiency in Microsoft Office Suite; familiarity with compliance management systems or CRM tools is a plus.
• Ability to work independently and manage multiple tasks simultaneously in a fast-paced environment.

Why Join Us:

• Opportunity to work in a collaborative and dynamic environment.
• A chance to grow your career in both compliance and operations within a respected organization.
• Salary commensurate with experience.
• Ongoing professional development and career advancement opportunities.

If you are a highly motivated individual with a passion for compliance and operations, we would love to hear from you.

Apply today and be part of a team that values integrity, innovation, and excellence.