Compliance Associate

Position SummaryThe Compliance Associate supports the Chief Compliance Officer and Compliance team in the day-to-day administration of the firm's regulatory compliance program. This role is responsible for trade reviews, registration and continuing education support, compliance reporting, representative security reviews, inspections, and general compliance administration with our affiliates, Sound Income Strategies. The ideal candidate is analytical, highly detail-oriented, comfortable working with recurring deadlines, and eager to grow within financial services compliance.Key ResponsibilitiesConduct daily and weekly trade reviews Support representative security reviews and other compliance activities within the MyComplianceOffice portal.Assist with monthly and annual firm registrations and maintain accurate supporting documentation.Assign and track continuing education requirements across applicable state and FINRA programs and follow up to ensure timely completion.Review and document quarterly trade errors, corrections, and adjustments.Assist with compliance inspections, documentation requests, and follow-up activities.Prepare, process, and maintain weekly and monthly reports for Trading Operations and the Chief Compliance Officer.Maintain organized compliance records across Dropbox, MyComplianceOffice, and other internal systems.Collaborate with Compliance, Trading Operations, advisors, and other internal partners to research questions and resolve issues.Support cross-training initiatives and assist with additional compliance projects and responsibilities as needed.