Compliance Associate Financial Services

Compliance Associate:

Job Description:

Delibert Employment Solutions is conducting a search on behalf of a leading financial services firm seeking a meticulous and proactive Compliance Associate to join their compliance team. This role is pivotal in ensuring that the firm adheres to all regulatory requirements and maintains the highest standards of ethical conduct. The successful candidate will manage various compliance-related tasks, from overseeing account openings to handling regulatory filings, and will play an integral part in upholding our firm’s integrity and operational excellence.

Key Responsibilities:

  1. Account Management:
    • Conduct thorough reviews and approvals of new account openings and handle requests related to existing client accounts.
  2. Employee Licensing:
    • Assist with employee licensing requirements and manage annual renewals to ensure compliance with industry standards.
  3. Communication Monitoring:
    • Monitor and review employee communications, including emails and text messages, to ensure adherence to compliance protocols.
  4. Compliance Calendar Management:
    • Oversee the firm’s Compliance Calendar, ensuring timely adherence to all regulatory requirements and deadlines.
  5. Code of Ethics Enforcement:
    • Support in monitoring and upholding the firm’s Code of Ethics, ensuring all employees adhere to ethical standards.
  6. Vendor Due Diligence:
    • Collaborate on vendor due diligence processes to ensure compliance with internal and external regulations.
  7. Regulatory Support:
    • Provide support during regulatory examinations and manage other regulatory matters as necessary.
  8. Regulatory Filings:
    • Assist in the preparation and filing of regulatory documents
  9. Policy Development:
    • Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates and help implement necessary changes.
  10. Written Supervisory Procedures (WSP):
    • Understand, maintain, and update the firm’s Written Supervisory Procedures and internal policies.
  11. Continuing Education:
    • Facilitate all continuing education requirements for employees, ensuring compliance with industry standards.
  12. Specialized Tasks:
    • Assist with tasks related to Options and Municipal Securities Rulemaking Board (MSRB) rules.


  1. Education:
    • Bachelor’s Degree or equivalent experience required.
  2. Licenses:
    • Valid FINRA Securities Industry Essentials (SIE), Series 7, Series 24, and Series 66 exams, or the ability to obtain them within 6 months of hire.
  3. Experience:
    • Minimum of 2-4 years of experience in Compliance or Risk Management, preferably within regulated financial institutions and with operational controls.
  4. Project Management:
    • Demonstrated ability to manage multiple projects and effectively interact with individuals at all organizational levels.
  5. Skills:
    • Detail-oriented and highly organized with the ability to thrive in a fast-paced, deadline-driven environment.
    • Strong problem-solving skills with a collaborative approach to complex issues.
  6. Flexibility:
    • Open and adaptable to taking on various tasks and responsibilities within a small team setting.

Additional Information:

  • The ideal candidate will exhibit a high level of integrity, professionalism, and a commitment to maintaining the firm’s reputation for compliance excellence.
  • This position offers the opportunity to contribute significantly to the firm’s compliance framework and to develop a deep understanding of regulatory requirements in the financial services industry.

Application Process:

Interested candidates are invited to submit their resume and a cover letter to teresa@delibertemployment.com detailing their qualifications and experience. We look forward to reviewing your application and exploring how you can contribute to our firm's success.


Since 1998 we have been recruiting in Rochester, New York for businesses of all sizes and industries such as; Insurance, Financial Services, Mortgage Services, Real Estate, Human Resources, Auto Dealers, Legal, Technical and Medical. We partner with small to mid-sized businesses in the Rochester area to add to their bottom line through customized recruiting solutions.

We have been responsible for hiring and retaining talent for 20+ years. We are natives of Rochester, NY and have strong ties to the community.



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