Regulatory Operations Associate

Jobgether

United States
On-site
Sec and finra compliance knowledge
Regulatory filing execution
Investment adviser registration
The Regulatory Operations Associate position at Jobgether's partner company seeks an individual to support financial services firms in regulatory compliance. The role involves working closely with compliance experts and external stakeholders in a fast-paced environment, focusing on regulatory filings and ensuring adherence to SEC and FINRA requirements

Job Summary

  • This role supports financial services firms in meeting complex and evolving compliance obligations with SEC and FINRA requirements.
  • You will work at the intersection of regulatory filings, client services, and operational execution to ensure full institutional compliance.
  • The position offers exposure to a wide range of regulatory processes from registration filings to ongoing amendments and disclosures.

Matching Summary

Match Score: 85

The Regulatory Operations Associate position at Jobgether's partner company seeks an individual to support financial services firms in regulatory compliance. The role involves working closely with compliance experts and external stakeholders in a fast-paced environment, focusing on regulatory filings and ensuring adherence to SEC and FINRA requirements.

Skills & Requirements

Must-have

  • SEC and FINRA compliance knowledge
  • regulatory filing execution
  • investment adviser registration

Nice-to-have

  • fast-paced environment adaptability
  • complex regulatory problem solving
  • detail-oriented operational mindset

Key Requirements

  • Experience with SEC and FINRA regulations
  • Background in investment adviser or broker-dealer compliance

Work Rights

Not specified

Tailored Resume

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