Compliance Associate

We are seeking an

Associate Compliance

to join our Compliance team and support our broker-dealer and investment adviser compliance programs.

This is an excellent opportunity for an early-career professional who wants to develop a career in financial services compliance. You’ll gain hands-on experience across a broad range of areas, including

SEC and FINRA regulations, regulatory monitoring, surveillance, marketing and advertising review, employee compliance, licensing, testing, regulatory examinations, and recordkeeping

.
You’ll work collaboratively with professionals across Compliance, Legal, Operations, Distribution, and Investments while building a strong foundation in the regulatory requirements that govern the financial services industry.
What Youll Do

As an Associate Compliance, you’ll support a variety of day-to-day compliance activities, including:
Assist with compliance monitoring, testing, policies, procedures, and controls
Monitor regulatory developments and support compliance reviews and risk assessments
Support FINRA supervisory processes and regulatory documentation
Assist with registered representative licensing records and Form U4/U5 administration
Review Outside Business Activity (OBA) and Private Securities Transaction (PST) submissions
Assist with sales practice surveillance and customer complaint tracking
Support Code of Ethics administration, including personal trading reports and employee certifications
Assist with Form ADV updates and investment adviser compliance activities
Coordinate the submission and tracking of marketing and advertising materials
Verify required disclosures and supporting documentation
Assist with FINRA advertising filings and related recordkeeping
Gather documentation for SEC and FINRA examinations and internal audits
Track examination findings, remediation activities, and deadlines
Prepare routine compliance reports and metrics
Coordinate employee compliance training, certifications, and annual attestations
What Were Looking For

Bachelors degree in business, finance, accounting, economics, legal studies, or a related field, or equivalent education and experience
0–2 years of experience in compliance, financial services, legal, audit, risk management, operations, or a related area
Relevant internship experience is a plus
Strong attention to detail and organizational skills
Ability to review information and documentation for accuracy and completeness
Strong analytical and problem-solving skills
Excellent written and verbal communication skills
Ability to manage multiple priorities and meet deadlines
High level of integrity, professionalism, and discretion
Collaborative approach and ability to work effectively across departments
Proficiency with Microsoft Excel, Word, Outlook, and PowerPoint
Professional Development

This role provides broad exposure to both

broker-dealer and investment adviser compliance

and is designed to help you build your knowledge and experience within the Compliance function.
Depending on business needs and assigned responsibilities, professional development may include:
Securities Industry Essentials (SIE) Examination
FINRA Series 7 license
FINRA Series 24 license as responsibilities progress
Investment Adviser Certified Compliance Professional (IACCP) designation
Annual Base Salary Range: $ 55,540 - $69,425

. This position is eligible to participate in the company’s annual discretionary bonus program.
Inland offers a competitive range of

benefits

for eligible Full-time employees:
Medical/Dental/Vision insurance (PPO)
Participation in the company 401(k) plan with a company match
Vacation Time, Nine Paid Holidays, Three floating holidays per year
Sick time
Tuition reimbursement opportunity
Company-paid life insurance equaling your annual base salary
Company-paid short-term and long-term disability
Paid Parental Leave
This position is eligible as an internal promotion opportunity.
To learn more about the Benefits Inland offers its employees please click the link to learn more.
As part of our commitment to an efficient and consistent hiring experience, The Inland Real Estate Group, LLC and its affiliated companies ("Inland") may utilize artificial intelligence ("AI") or automated technologies to assist in certain aspects of the recruitment and hiring process, including resume review and candidate screening. AI-enabled tools are used to support hiring decisions and are not used as the sole basis for employment decisions. All employment decisions are reviewed and made by qualified Inland professionals.
We are a drug-free workplace. Pre-employment background checks and drug screening are conducted for all new hires in accordance with applicable laws and regulations.
Inland is committed to equal employment opportunity and considers applicants for all positions without regard to race, color,
religion, sex, national origin, age, sexual orientation, familial status, marital status, veteran status, disability, or any other status protected by applicable law. We do not use AI or any selection tools in a manner that results in unlawful discrimination based on any protected characteristic.
If you require a reasonable accommodation or an alternative method of assessment during any stage of the recruiting process, please contact our Talent Acquisition team at



.
Where required by applicable law, Inland will provide additional disclosures and obtain any necessary consent before using certain AI-enabled technologies. Candidates may request additional information regarding Inland’s use of AI in the hiring process at any time.
We are an E-Verify employer.

Please click the following link to learn more.