Compliance Associate Position

compliance associate

NCS Regulatory Compliance is an industry leader in compliance consulting services to Broker Dealers, Investment Advisers and Hedge Funds.

The Compliance Associate will be responsible for supporting senior compliance consultant staff in the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices.


Delray Beach, Florida or Londonderry/Concord, NH

Key Responsibilities

  • Working directly with broker dealer clients to deliver guidance and advice that is consistent with FINRA, SEC and/or state regulatory requirements and regulatory best practices
  • Providing administrative support services to senior compliance consultants
  • Processing CRD and/or EDGAR regulatory filings
  • Providing regulatory filing services at the firm and individual level, including but not limited to Form U4s, U5s, Form BD amendments, Form BRs,  CRD/IARD, EDGAR regulatory filings;
  • Researching FINRA, SEC and/or state rules and regulations and communicating guidance to clients
  • Corresponding with securities regulators to research regulatory requirements
  • Preparing response letters to state and federal examiners on behalf of clients
  • Maintaining firm records (calendars, project workflows and status updates), accounting records and time reporting
  • Assisting clients with compliance questions and other needs
  • Deliver customized investment adviser compliance manuals, risk assessments, calendars and other products
  • Participate in, or contribute to, articles, blogs and webinars
  • Planning and organizing priorities while maintaining highest level of service to clients
  • Multitasking and managing multiple projects and within deadlines
  • Attending conferences and meetings as requested


  • Strong knowledge of the investment management industry and related securities laws, especially the Securities Exchange Act of 1934.
  • Strong relationship management skills
  • Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
  • Ability to work both independently and as part of a team
  • Customer-focused attitude
  • Time management and organization skills with a strong attention to detail
  • Strong written communication and oral communication skills

Education & Experience

  • 3-6 years of relevant experience, including consulting, BD compliance, or other financial services compliance experience
  • Proficiency with CRD
  • Bachelor’s degree, preferably in a related field
  • Series 7 required within 6 months of hire
  • Series 24 a plus


Please send your cover letter and resume to:


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