NextStep Recruiting is partnered with a well-established financial services firm in downtown Dallas seeking a Core Compliance Associate. This is a hands-on, visible role supporting key compliance functions, including regulatory response, licensing, audits, and employee conduct oversight. The ideal candidate brings strong attention to detail, excellent communication skills, and the ability to work both independently and cross-functionally.

Key Responsibilities:

• Serve as point of contact for regulatory inquiries and exams (FINRA, SEC, state)
• Support licensing and registration processes
• Monitor employee trading, disclosures, gifts, and email reviews
• Assist with audits, inspections, and compliance meetings
• Maintain and update compliance policies, filings, and certifications
• Investigate issues and recommend resolutions
• Identify process improvements and help implement solutions
• Limited travel (10–15%)

Qualifications:

• Bachelor's degree with 3–7 years of financial services compliance experience (broker-dealer preferred)
• SIE and Series 7 (or the ability to obtain)
• Familiarity with FINRA Gateway, MCO, and compliance systems
• Strong MS Office skills; SQL a plus
• Clear communicator with strong problem-solving abilities

NextStep Recruiting provides equal employment opportunities (EEO) to all employees and applicants regardless of race, color, or applicable state and local laws governing nondiscrimination in employment in every location where the company has facilities.