Compliance Associate - Portuguese Speaking

Position Overview We are seeking a detail-oriented and proactive Broker Dealer Compliance Associate to support the compliance and supervisory functions of a growing wealth management and broker-dealer platform. This individual will play a key role in ensuring adherence to FINRA, SEC, and internal regulatory requirements while supporting advisors, operations, and management teams across the business. Essential Duties & Responsibilities Assist with day-to-day compliance oversight for broker-dealer operations and registered representatives Review and monitor new account documentation, account maintenance requests, and money movement transactions for regulatory compliance Support AML/KYC, CIP, and suitability review processes in accordance with FINRA and SEC regulations Monitor transactions for potential compliance concerns, exceptions, and escalations Conduct surveillance reviews related to trading activity, outside business activities, gifts & entertainment, and employee accounts Assist with branch audits, internal reviews, and regulatory examinations Maintain compliance records, reports, and required documentation for audits and examinations Partner with operations, advisors, and management teams to resolve compliance-related issues Support licensing, registration, and continuing education requirements for registered representatives Assist in updating policies and procedures to ensure alignment with regulatory changes Respond to compliance inquiries from internal teams and provide guidance on firm policies and procedures Participate in special projects related to compliance enhancements and operational improvements Qualifications Bachelor’s degree preferred 3+ years of compliance experience within a broker-dealer, wealth management firm, private bank, or financial services environment Active FINRA Series 7 license is a pplus Additional licenses such as Series 63, 66, or 24 are a plus Strong understanding of FINRA, SEC, AML, and KYC regulatory requirements Experience reviewing account opening documentation, maintenance requests, and operational transactions Strong attention to detail and ability to manage multiple priorities in a fast-paced environment Excellent written and verbal communication skills Bilingual in English/Portuguese required Proficiency in Microsoft Office Suite and compliance monitoring systems