Associate

Supports the companys products and/or service offerings by ensuring compliance with applicable federal securities laws and state requirements. Supports the system and technical requirements for regulatory compliance as well as staying abreast of regulation changes applicable to all of the companys various industries. Reviews and/or assists with the development of functional/business requirements to ensure compliance for technical enhancements and new product offerings. Researches, analyzes, and interprets federal, state, IRS, and SEC laws as well as proposed laws to determine applicability from both the technical and operational perspective. Works with the NASD and test vendors for supervision of Securities trading activities and licensing administration. Intermediate professional working on projects of a moderate scope or on varied tasks that require resourcefulness, self-initiative, and significant independent judgement. Demonstrates a developing functional knowledge to evaluate the implications of issues and make recommendations for solutions. Guides less experienced team members. May recommend new procedures. Minimally requires a Masters degree, or Bachelors degree and 2 years of related experience, or high school degree and 4 years of related experience.