Kforce

Compliance Associate

3+ months agoSan Diego, CA

Responsibilities

Kforce has a client in search of a Compliance Associate in San Diego, CA.Key Tasks:

  • Compliance review of financial advisors' public communications in adherence with FINRA & SEC securities law
  • Perform onsite audits of financial advisors to ensure compliance with business procedures in accordance with the firm's and securities' regulations
  • Train current and new advisors of changes needed with client's documents to remain compliant


Skills

  • BA degree preferred
  • 1 year of financial services, securities, financial planning, banking or insurance industry experience, preferably in a compliance setting
Kforce is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status.

Kforce is a professional staffing services firm offering Technology and Finance & Accounting jobs with top employers nationwide. We specialize in providing contract, contract-to-hire and direct placement opportunities, with over 50 years of experience in the staffing industry. Kforce offers many consultants comprehensive benefits depending on employment status, including medical, dental, 401(K), life insurance and disability. Our vision is to be "the firm most respected by those we serve."

Job ID: Kforce-1912206-WQG