Regulatory Associate

Regulatory Associate

Miami, FL

A high-growth financial services organization is seeking a Regulatory Associate to support a range of compliance and regulatory initiatives. This individual will assist with regulatory oversight activities, policy administration, procedural updates, and ongoing compliance monitoring efforts across the business.

This role offers exposure to a broad range of regulatory and supervisory matters and is ideal for a professional looking to further develop their compliance expertise within a collaborative environment.

Key Responsibilities

• Support ongoing compliance and regulatory initiatives.
• Assist with the maintenance and enhancement of policies, procedures, and supervisory documentation.
• Perform compliance reviews, monitoring, and testing activities.
• Help coordinate responses to regulatory examinations, audits, and information requests.
• Track regulatory developments and assist with implementing procedural updates.
• Maintain required records and documentation.
• Partner with internal stakeholders on compliance-related matters and regulatory risk management.

Qualifications

• Active Series 7 license required.
• Experience within a regulated financial services environment.
• Understanding of securities industry regulatory requirements and best practices.
• Exposure to policy and procedure management, compliance testing, or regulatory oversight activities.
• Strong organizational, analytical, and communication skills.

Compensation

• Base salary up to $128,500 .
• Bonus eligible.
• Competitive benefits package.