Compliance Associate

Compliance Associate role at Cleveland Research Company involves promoting and maintaining regulatory compliance, reviewing written research products, and developing positive working relationships with internal clients.

Requirements

• Undergraduate degree is required; Business related degree is preferred
• Critical thinking skills and a high attention to detail
• Outstanding time management skills
• High ethical standards
• Able to communicate to all levels of staff effectively, both written and verbally
• Able to multi-task and remain organized and focused in a high-paced environment
• Able to work and adapt as needed to provide support to all levels of the organization
• Applicants must have passed at least three of the four following FINRA exams: SIE, Series 7, Series 24 and Series 16. Must be willing to obtain the fourth if not already held.

Benefits

• Competitive salary
• fully paid health insurance coverage
• 401(k)
• training and development
• a variety of other perks and benefits