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

R24xSFdhQTRmUHh6czVlT3k5Qlk1OVE3TVE9PQ==
  • Ascendo Resources
  • Fort Lauderdale, FL

Job Description

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

Enterprise

Summer 2026 Management Intern - DAL Airport Job at Enterprise

 ...be more than just a line on your resume. This position is located at the Dallas Love Field Airport at 7366 Cedar Springs Road Dallas, TX 75235. It pays to be an Intern with Enterprise! Benefits include, but are not limited to: Full-time 40hr per week schedule... 

AA Driver Training Center

Front Desk Receptionist-Chinese Speaking Job at AA Driver Training Center

 ...: Overview We are seeking a dedicated and professional Chinese Speaking Front Desk Receptionist to join our team. This role is crucial in providing excellent customer service and ensuring the smooth operation of our front office. The ideal candidate will be the first... 

Fedex

Package Handler - Part Time (Warehouse like) - Urgently Hiring Job at Fedex

 ...Federal Express Corporation (FEC) is part of the rapidly growing warehouse and transportation sector that helps keep America, and our...  ...their first day of employment!~ Generous paid time off program - work your way up to 5 weeks of PTO a year!~ Medical, dental and... 

One World Global Services

Spanish:US-based Interpreters Job at One World Global Services

 ...WE ARE HIRING EXPERIENCED INTERPRETERS PER MINUTE!!! LANGUAGE: SPANISH Requirements: ~85% English proficiency~ Steady wired internet connection...  ...industry the interpreter works with (healthcare and medical one, specifically). Go into internal professional...