Senior Compliance Associate

We are seeking a Compliance Officer to join a growing broker-dealer. The successful candidate must hold both an active FINRA Series 7 license and will play a key role in managing compliance programs, strengthening supervisory procedures, and ensuring adherence to FINRA, SEC, and state regulations. Key Responsibilities Assist in maintaining compliance with FINRA, SEC, and state regulations. Support reviews of client account documentation, trading activity, and firm communications. Help prepare and manage regulatory filings, examinations, and audits. Contribute to maintaining and updating compliance policies, WSPs, and internal controls. Partner with senior compliance leadership on branch inspections, risk assessments, and compliance training. Gain hands-on experience and mentorship in preparation for supervisory responsibilities. Qualifications Active FINRA Series 7 license required. Commitment to obtaining the Series 24 license within 3–6 months 1–3 years of experience in compliance, operations, or financial services preferred. Strong organizational, analytical, and problem-solving skills. Excellent communication skills and attention to detail. Providence Talent Group provided pay range: $90,000.00/yr - $100,000.00/yr Seniority level: Associate Employment type: Full-time Job function: Finance We offer medical insurance, vision insurance, and 401(k).

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