Compliance Associate - Entry level Job at Ascendo Resources, Fort Lauderdale, FL

dy9SQlJrUFpaWjJudWVocFZrZkM2aXpHbEE9PQ==
  • Ascendo Resources
  • Fort Lauderdale, FL

Job Description

Role Overview

The Compliance Associate will support the firm’s compliance program and work closely with senior compliance professionals to ensure adherence to SEC, FINRA, and internal regulatory requirements. This role is designed for someone eager to learn, detail-oriented, and interested in building a career in compliance within wealth management.

Key Responsibilities

  • Assist with day-to-day compliance monitoring and administrative support
  • Support reviews of client accounts, new account documentation, and transaction activity
  • Assist with surveillance reviews related to trading activity, suitability, and best execution
  • Help maintain compliance records, logs, and regulatory filings
  • Support preparation for audits, regulatory exams, and internal reviews
  • Assist with reviewing marketing materials, correspondence, and client communications
  • Help update and maintain written supervisory procedures (WSPs)
  • Stay current on regulatory rules, firm policies, and industry best practices
  • Provide general compliance support to advisors and internal teams

Qualifications

  • Bachelor’s degree in Finance, Business, Economics, Legal Studies, or a related field
  • Internship or entry-level experience within wealth management, broker-dealer, RIA, or financial services preferred
  • Strong interest in compliance, regulatory affairs, and financial services
  • High attention to detail with strong organizational skills
  • Ability to handle confidential information with discretion
  • Strong written and verbal communication skills
  • Proficient in Microsoft Office (Excel, Word, Outlook)

Job Tags

Internship, Work at office,

Similar Jobs

LLNL

Synthetic Biologist - Postdoctoral Researcher Job at LLNL

 ...brightest talent in the world to strengthen the United States' security? Come join Lawrence Livermore National Laboratory (LLNL) where...  ...years. We are seeking a highly motivated Postdoctoral Researcher to conduct research in the field of synthetic biology for critical... 

Placement Club

Project Manager Job at Placement Club

 ...accomplishments, and company contributions. We are a leading Civil Contractor specializing in public infrastructure projects. We are actively looking to hire a Project Manager to join our diverse team. This position reports to a Project Executive and is responsible for... 

WellRithms, Inc.

Senior UX/UI Designer Job at WellRithms, Inc.

 ...Our Ideal Candidate Were seeking an experienced Senior UX/UI Designer to help shape intuitive, user-centered experiences across our healthcare payment integrity platforms. In this role, youll translate complex workflows into clear, efficient interfaces while collaborating... 

Orion Motors LLC

Fabricator / Assembly / Mechanic Job at Orion Motors LLC

 ...Orion Motors LLC is a company specializing in camper van conversions and custom work. We perform final assembly of exterior and interior systems, such as windows, beds, seats, flooring, electronics, kitchenette, and interior finishing panels. We are looking for someone... 

Sevencore

CDL A Truck Driver Job at Sevencore

 ...Company Description Sevencore is a leading U.S. trucking and logistics company dedicated to delivering high-value freight with precision, safety, and reliability. Using a modern fleet, advanced technology, and real-time tracking, we provide top-tier service to meet the...