Compliance Associate

Type: Full time

Job Code: CSD-BC

Location: Los Angeles, CA

Relocation: No

Salary: Negotiable based upon experience

Job Description:

Bachelor's Degree required; at least 2-3 years of regulatory/compliance experience in a full-service brokerage firm required; FINRA Series 7, 24 and 8 required; solid knowledge of securities industry regulations essential;

• Draft and coordinate regulatory responses
• Conduct anti-money laundering review of accounts
• Ensure division compliance with operational procedures
• Perform quality control review of documents
• Review prime broker and professional trading account issues
• Provide information and assistance to correspondent firms on regulatory issues

Job Qualification:

Bachelor's Degree required; at least 2-3 years of regulatory/compliance experience in a full-service brokerage firm required; FINRA Series 7, 24 and 8 required; solid knowledge of securities industry regulations essential;

Permanent Resident/U.S. Citizen: Yes - Required

To apply:
Submit your resume and cover letter to:

Wedbush Securities
P.O. Box 30014
Los Angeles, CA 90030-0014
FAX to 213-688-6652
E-mail in Word '97 or '2000 format to Recruiting@Wedbush.Com

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