• Direct Hire
  • Full Time
  • Albany, NY

Our client is currently seeking a Series 7 Licensed Assistant Compliance Officer to join their team. They will be responsible for providing assistance to the Compliance Officer with their day-to-day tasks. 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.


  • All applicants MUST have their FINRA Series 7 License.
  • Series 24 is preferred.
  • Prior brokerage industry experience is required.
  • Compliance experience is plus.
  • Excellent written communication skills (post-secondary).
  • Must be well organized and attentive to detail.


If you are qualified for this position, please apply using our secure online form.

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