Compliance Associate
Job Title: Compliance Associate Job #: 4184 Location: Albany, NY Category: Financial Services Position Type: Full-time, Permanent Description: Our client is currently seeking a Compliance Associate to join their team. This is a full-time, permanent position. Responsibilities Include: Staying informed of changing compliance laws and regulations and informing compliance staff and management of these changes. Assisting with compliance testing and monitoring. Monitoring the status of corrective actions being taken. Providing compliance technical assistance, training, and analysis as necessary. Qualifications: All applicants MUST have their FINRA Series 7 License. Series 24 is preferred. Prior brokerage industry experience is required. Compliance experience [...]