Financial Services Compliance Associate

CFM Partners

Location: REMOTE - Washington, DC

Corporate Overview

CFM Partners is a Governance, Risk and Compliance (GRC) technology and content solutions provider. Our technology is powered by our proprietary, cloud-based system that includes our easy-to-use, GRC web applications. We also develop high-quality content, including audience appropriate education courses, and maintain libraries of regulations and regulatory activity.

Our Solutions simplify and streamline tedious and time-consuming tasks, improve employee communications and education, establish audit trails, and help create an infrastructure to better manage organizations.

Position Description

The Compliance Associate is primarily responsible for the maintenance of CFM’s Regulatory Matrix, a regulatory monitoring tool that provides clients with one location to reference and track federal and state regulatory news, enforcement actions, and changes to rules and regulations governing broker-dealers and investment advisers. In addition, the Compliance Associate may provide assistance and support in a wide-range of compliance-related activities, including, but not limited to:

• Researching financial and compliance-related topics

• Assisting in the design, development, and review of compliance- and product-related training courses

• Providing subject matter expertise to support other departments (e.g., Web Applications, Client Services, Sales, etc.) in the design and implementation of market-specific compliance and risk solutions.

Qualifications

• 3-5 years of regulatory or financial services experience

• Knowledge of investments and other financial-related topics

• Strong writing skills

• Strong interpersonal and communication skills

• Experience in a broker-dealer compliance function

• J.D. preferred