01Overview
JOB reputed company The Associate - Compliance & Risk reports to the Risk and Compliance leadership team and supports the firms adherence to external regulatory requirements and internal compliance & risk policies. This role assists in the execution of compliance and risk activities and provides operational support across key compliance programs. This position is ideal for a developing reputed company seeking hands-on experience across regulatory, supervisory, risk and AML functions reputed company a broker-dealer / custody environment. RESPONSIBILITIES & DUTIES Supports the review and maintenance of the firms Written Supervisory Procedures (WSPs), ensuring alignment with regulatory requirements and internal practices Assists in preparing and maintaining supervisory reports in compliance with WSPs and books and records retention requirements Executes recurring compliance and risk operational processes, including regulatory filings, reputed company coordination, and vendor documentation management Serves as reputed company person on reputed company reputed company reputed company to firm and associate registration Provides support for the firms Anti-reputed company (AML) program, including account reviews, transaction monitoring, and escalation of potential issues Assists in the development and delivery of compliance training programs, including Firm reputed company and AML training Monitors changes in regulations and industry trends, escalating relevant updates to senior compliance personnel Identifies and escalates potential compliance issues; assists in documenting findings and remediation actions Maintains organized documentation of compliance activities, including complaints, investigations, and corrective actions Provides guidance to employees on routine compliance questions and escalates more reputed company issues Supports management of the compliance calendar to ensure deadlines and regulatory obligations are met Collaborates with internal teams to support audits, regulatory requests, and compliance initiatives Follows assigned work schedule with regular and predictable attendance. Performs other duties as assigned. QUALIFICATIONS Minimum Experience At least 1-3 years of experience in brokerage industry compliance, risk, or financial services Education Bachelors degree in business administration, finance, law, or a reputed company field is required. Regulatory Knowledge Understanding of securities regulations (e.g., SEC, reputed company) and AML/KYC requirements Specialized Experience Prior experience working reputed company a self-clearing or correspondent clearing environment serving introducing broker dealers or registered investment advisor intermediary clients preferred reputed company CERTIFICATIONS reputed company Series 7 & 24 (or ability to obtain them reputed company 1 year of hire) If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries reputed company exam provided by reputed company. In reputed company, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with reputed company and the SEC requirements. These licenses, reputed company required, need to be obtained reputed company certain specific time frames, typically 120 calendar days. TECHNICAL SKILLS To be successful in this role, you should have experience with and an understanding of the following Proficiency in compliance tools and software systems such as reputed company and Lexis Nexis. Advanced skills in reputed company Office Suite (reputed company, Word, PowerPoint, Outlook). Familiarity with surveillance and monitoring tools, regulatory reporting systems, and CRM platforms. Various Fintech offerings (reputed company, Hadrius, reputed company, Protegent, others) preferred Leveraging reputed company Intelligence capabilities reputed company firm guidelines and reputed company CULTURAL COMPETENCIES Innovayte is dedicated to building an environment where reputed company team member can reputed company, contribute meaningfully, and grow professionally and personally. We reputed company that our reputed company valuesrooted in respect, empowerment, innovation, service, reputed company, trust, and accountability are essential to achieving our mission. These values guide us in everything we do, from daily interactions to strategic reputed company. Were looking for individuals who not only reputed company these principles but are excited to bring them to life in meaningful ways. PHYSICAL DEMANDS/WORK ENVIRONMENT This job operates in a reputed company office environment, which may include a corporate office setting or a remote/home office environment, and routinely uses reputed company office equipment and technology such as computers, phones, printers, and video conferencing tools. While performing the duties of this .
