Associate Analyst – Financial Services & Compliance
Overview
As an Associate Analyst, you will own the processing and maintenance of advisor registration records, ensuring compliance with FINRA and state regulations across a hybrid workspace in Tempe or Fort Mill. You will join a dedicated operations team supporting financial services clients, managing records with precision. This role offers the chance to grow expertise in regulatory operations within a collaborative, hybrid environment.
What You'll Do8
- 1Process advisor registration applications and amendments within required timeframes.
- 2Maintain accurate advisor records across internal systems and regulatory databases.
- 3Coordinate with internal teams to resolve registration inconsistencies.
- 4Support operational tasks related to licensing, including background checks.
- 5Track and report on registration status and compliance metrics.
- 6Collaborate with compliance officers to ensure regulatory adherence.
- 7Handle data entry and document verification with high accuracy.
- 8Escalate complex issues to senior team members when necessary.
Requirements6
- 11-3 years of experience in financial services operations or compliance.
- 2Strong attention to detail and ability to manage multiple priorities.
- 3Proficiency with Microsoft Excel and Office Suite.
- 4Familiarity with FINRA rules and registration processes.
- 5Excellent written and verbal communication skills.
- 6Ability to work both independently and as part of a team.
Salary Insight
$37 - $46k per year
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