Dallas, TX
Core Compliance Associate
Location Dallas, TX 75205 | Onsite
COMPENSATION & SCHEDULE
• $75,000–$90,000 annual salary
• Full-time, standard business hours
• W2 employment
ROLE IMPACT
Join a high-stakes financial operations team where compliance is more than a checkpoint—it's a value driver. As a Core Compliance Associate, you'll serve as the front line of defense in a complex investment banking and broker-dealer environment. Success in this role is defined by your ability to execute under pressure, lead regulatory interactions, and build scalable compliance protocols that protect business integrity and client trust.
KEY RESPONSIBILITIES
• Serve as lead point of contact for FINRA, SEC, and global regulatory agencies; manage audit responses and regulatory exams
• Drive licensing and registration compliance from application through renewal across domestic and international markets
• Administer firmwide compliance functions including trade surveillance, outside activity disclosures, and annual attestations
• Coordinate supervisory policy reviews and execute CEO Certifications with accuracy and confidentiality
• Identify, assess, and mitigate regulatory risks related to market activities and internal reporting
MINIMUM QUALIFICATIONS
• 3–7 years of compliance experience in investment banking or a broker-dealer
• Bachelor’s degree in business, finance, or related discipline
• SIE and Series 7 required
• Proficiency with FINRA Gateway, NFA systems, and MyComplianceOffice (MCO)
CORE TOOLS & SYSTEMS
• Microsoft Office Suite (Excel, Word, Outlook, Access, PowerPoint)
• MyComplianceOffice (MCO)
• FINRA Gateway & NFA Registration Platforms
• SQL (preferred)
PREFERRED SKILLS
• Experience in cross-border regulatory engagements
• History of leading compliance strategy within trading environments
• Skilled at operationalizing legal and regulatory frameworks
LEGAL NOTICE
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