Our client, a leading investment bank in Newport Beach, is seeking a Junior Compliance Associate to join their compliance team! This is an excellent opportunity for a motivated professional with 1–3 years of experience who is eager to grow their career within compliance at a broker-dealer. The ideal candidate will hold the SIE (required) or Series 7 license and have a strong interest in developing within a regulatory/compliance-focused role.
Responsibilities Include:
Monitoring and reviewing firm communications, including email surveillance.
Chaperoning calls and meetings to ensure compliance with regulatory requirements.
Supporting daily compliance monitoring and reporting activities.
Assisting with regulatory filings, recordkeeping, and general compliance oversight.
Collaborating with compliance leadership on ad hoc projects and audits.
Requirements:
1–3 years of relevant professional experience.
SIE license required; Series 7 strongly preferred
Interest in building a career in compliance within a broker-dealer environment.
Strong attention to detail, organizational skills, and ability to multitask.
Excellent communication and interpersonal skills.
Proficiency with Microsoft Office Suite (Word, Excel, Outlook).
Pay rate: $25-$30/hour
