Core Compliance AssociateLocation Dallas, TX 75205 | OnsiteCOMPENSATION & SCHEDULE• $75,000–$90,000 annual salary• Full-time, standard business hours• W2 employmentROLE IMPACTJoin a high-stakes financial operations team where compliance is more than a checkpoint—it's a value driver. As a Core Compliance Associate, you'll serve as the front line of defense in a complex investment banking and broker-dealer environment. Success in this role is defined by your ability to execute under pressure, lead regulatory interactions, and build scalable compliance protocols that protect business integrity and client trust.KEY RESPONSIBILITIES• Serve as lead point of contact for FINRA, SEC, and global regulatory agencies; manage audit responses and regulatory exams• Drive licensing and registration compliance from application through renewal across domestic and international markets• Administer firmwide compliance functions including trade surveillance, outside activity disclosures, and annual attestations• Coordinate supervisory policy reviews and execute CEO Certifications with accuracy and confidentiality• Identify, assess, and mitigate regulatory risks related to market activities and internal reportingMINIMUM QUALIFICATIONS• 3–7 years of compliance experience in investment banking or a broker-dealer• Bachelor’s degree in business, finance, or related discipline• SIE and Series 7 required • Proficiency with FINRA Gateway, NFA systems, and MyComplianceOffice (MCO)CORE TOOLS & SYSTEMS• Microsoft Office Suite (Excel, Word, Outlook, Access, PowerPoint)• MyComplianceOffice (MCO)• FINRA Gateway & NFA Registration Platforms• SQL (preferred)PREFERRED SKILLS• Experience in cross-border regulatory engagements• History of leading compliance strategy within trading environments• Skilled at operationalizing legal and regulatory frameworksLEGAL NOTICEBy applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from CornerStone and its affiliates, and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy at: 150800
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