Compliance Associate

Newport Beach, CA

Onsite  -  Compliance / Audit  -  Contract  -  Job ID: 23-03681

Title: Compliance Associate
Location: On Site in either Austin TX or Newport Beach, CA
Duration: 6+ month contract
Compensation: $50-53/hr. W2
Work Requirements: US Citizen, GC Holders or Authorized to Work in the US
Qualified candidates may send a copy of their resume to Marogt Parsons at

The individual will be responsible for providing direct support to the firm's broker-dealer regulatory compliance program in the following areas, among others: financial intermediary due diligence, conflict of interest reviews, recordkeeping management; licensing and registration activities of registered representatives; surveillance of electronic communications; compliance training; branch office inspections; compliance monitoring and testing related to compliance program requirements, support policies & procedure development, as well as special projects.

A successful candidate will also be expected to maintain a general understanding of global compliance policies, specific regulatory requirements and their relevance to particular aspects of client's business, related compliance monitoring procedures and documentation protocols.


  • Execute initial and on-going due diligence for financial intermediaries
  • Conduct compliance monitoring reviews related to potential conflicts of interest
  • Monitor registered representatives and associate person activities in consideration of FINRA and NFA licensing and registration requirements
  • Conduct surveillance of electronic communications of FINRA registered representatives
  • Support the development and implementation of compliance policies and procedures
  • Perform annual compliance program reviews and testing of broker-dealer controls
  • Conduct annual inspections of the firm's OSJs and branch offices
  • Assist the Legal and Compliance department with on-going initiatives as needed


  • Work experience in the financial services/asset management industry is required, applicable legal and compliance experience is preferred
  • An undergraduate degree is required, graduate degree or Juris Doctorate preferred
  • FINRA Series 7 and 24 registrations required, or must be obtained within six months of hire
  • Understanding of conflicts of interest and how they can affect clients business
  • General knowledge of regulatory requirements applicable to U.S. broker-dealers
  • Ability to interact with colleagues of all levels and clearly understand complex concepts is required
  • Knowledge of the following is preferred: compliance programs, policies and requirements, and broker-dealer regulatory requirements
  • Strong background in utilizing Microsoft software suite, with a focus on Excel, including formulas (e.g., vlookup, etc.) and pivot tables