Core Compliance Associate
Location Dallas, TX 75205 | Onsite

COMPENSATION & SCHEDULE
$75,000 $90,000 annual salary
Full-time, standard business hours
W2 employment

ROLE IMPACT
Join a high-stakes financial operations team where compliance is more than a checkpoint it's a value driver. As a Core Compliance Associate, you'll serve as the front line of defense in a complex investment banking and broker-dealer environment. Success in this role is defined by your ability to execute under pressure, lead regulatory interactions, and build scalable compliance protocols that protect business integrity and client trust.

KEY RESPONSIBILITIES
Serve as lead point of contact for FINRA, SEC, and global regulatory agencies; manage audit responses and regulatory exams
Drive licensing and registration compliance from application through renewal across domestic and international markets
Administer firmwide compliance functions including trade surveillance, outside activity disclosures, and annual attestations
Coordinate supervisory policy reviews and execute CEO Certifications with accuracy and confidentiality
Identify, assess, and mitigate regulatory risks related to market activities and internal reporting

MINIMUM QUALIFICATIONS
3 7 years of compliance experience in investment banking or a broker-dealer
Bachelor s degree in business, finance, or related discipline
SIE and Series 7 required
Proficiency with FINRA Gateway, NFA systems, and MyComplianceOffice (MCO)

CORE TOOLS & SYSTEMS
Microsoft Office Suite (Excel, Word, Outlook, Access, PowerPoint)
MyComplianceOffice (MCO)
FINRA Gateway & NFA Registration Platforms
SQL (preferred)

PREFERRED SKILLS
Experience in cross-border regulatory engagements
History of leading compliance strategy within trading environments
Skilled at operationalizing legal and regulatory frameworks

LEGAL NOTICE
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