MOHR Talent
Compliance Associate - Financial Services
MOHR Talent, Granite Heights, Wisconsin, United States
Compliance Associate - Financial Services
Location: Rollingwood, TX. Salary: $62,000–$65,000. 100% onsite, Monday–Friday.
About the Opportunity We’re partnering with a leading independent financial services organization that supports financial advisors and their clients across the country. The firm provides an integrated platform combining wealth management, compliance oversight, and innovative operational tools.
What You’ll Be Doing
Support the Supervision team with oversight and regulatory tasks under established policies and procedures.
Administer and monitor electronic communication reviews using the Smarsh platform, managing advisor and firm email compliance.
Add, remove, and reconcile users on Smarsh to ensure accurate access and billing records.
Track and update supervision review queues, troubleshoot archiving issues, and report review metrics.
Perform email reviews under the direction of registered principals and assist with compliance documentation.
Conduct administrative reviews such as gifts and gratuities logs, check/securities blotters, and data validation in client reports.
Assist in maintaining department metrics, testing logs, and quarterly oversight reports.
Collaborate with Compliance, Legal, and Technology teams to address requests and ensure data accuracy.
Support department initiatives, testing, and report generation.
What They’re Looking For
Bachelor’s degree or equivalent experience in Finance, Business Administration, or related field preferred.
1+ years of professional experience, ideally with exposure to financial services, brokerage, or compliance environments.
SIE or Series 7 license preferred.
Strong Microsoft Excel proficiency and ability to work with large data sets.
Technical aptitude with an interest in managing financial systems and compliance technology platforms.
Excellent attention to detail, organization, and communication skills.
Ability to work effectively in a structured, fast‑paced environment while learning new systems.
Why You’ll Love It There
Growth‑focused role with a clear professional development path. You’ll enjoy:
Full health, vision, and dental coverage.
401(k) plan and voluntary benefits (legal services, insurance options, etc.).
Support for professional licensing and continued education.
Collaborative, mentorship‑driven environment with opportunities for advancement.
A mission‑driven culture centered on service, accountability, and teamwork.
Equal Employment Opportunity Statement MOHR Talent is an equal‑opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com.
#J-18808-Ljbffr
About the Opportunity We’re partnering with a leading independent financial services organization that supports financial advisors and their clients across the country. The firm provides an integrated platform combining wealth management, compliance oversight, and innovative operational tools.
What You’ll Be Doing
Support the Supervision team with oversight and regulatory tasks under established policies and procedures.
Administer and monitor electronic communication reviews using the Smarsh platform, managing advisor and firm email compliance.
Add, remove, and reconcile users on Smarsh to ensure accurate access and billing records.
Track and update supervision review queues, troubleshoot archiving issues, and report review metrics.
Perform email reviews under the direction of registered principals and assist with compliance documentation.
Conduct administrative reviews such as gifts and gratuities logs, check/securities blotters, and data validation in client reports.
Assist in maintaining department metrics, testing logs, and quarterly oversight reports.
Collaborate with Compliance, Legal, and Technology teams to address requests and ensure data accuracy.
Support department initiatives, testing, and report generation.
What They’re Looking For
Bachelor’s degree or equivalent experience in Finance, Business Administration, or related field preferred.
1+ years of professional experience, ideally with exposure to financial services, brokerage, or compliance environments.
SIE or Series 7 license preferred.
Strong Microsoft Excel proficiency and ability to work with large data sets.
Technical aptitude with an interest in managing financial systems and compliance technology platforms.
Excellent attention to detail, organization, and communication skills.
Ability to work effectively in a structured, fast‑paced environment while learning new systems.
Why You’ll Love It There
Growth‑focused role with a clear professional development path. You’ll enjoy:
Full health, vision, and dental coverage.
401(k) plan and voluntary benefits (legal services, insurance options, etc.).
Support for professional licensing and continued education.
Collaborative, mentorship‑driven environment with opportunities for advancement.
A mission‑driven culture centered on service, accountability, and teamwork.
Equal Employment Opportunity Statement MOHR Talent is an equal‑opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com.
#J-18808-Ljbffr