Executive Assistant, Compliance

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

Our compliance team is looking for an Executive Assistant. This role will report directly to our Chief Compliance Officer and sit in our New York office.

Responsibilities include but are not limited to:

• Schedule and coordinate meetings across legal, compliance, surveillance, regulatory, HR, corporate governance, marketing, PR, and other departments
• Manage the CCO's calendar, scheduling, and travel arrangements
• Oversee multiple projects, assist with remediation reviews, and support completion and closeout of initiatives
• Write business correspondence and sort, prioritize, and summarize internal communication requiring action or signature
• Track and organize follow?up items for major projects to ensure timely completion
• Maintain vendor files and other departmental records
• Communicate issues requiring escalation to the CCO promptly and recommend solutions
• Prepare, categorize, and route invoices for CCO review and approval
• Serve as backup for licensing and registration tasks, including filing Form U4s, opening exam windows, and ordering study materials
• Respond to state regulatory inquiries regarding representative registration status
• Complete regulatory filings (Form ADV, Form BD, Form 13F, FINRA Gateway updates) and track timely completion of additional filings by compliance staff
• Handle sensitive situations with professionalism, tact, and sound judgment while working independently
• Perform other duties as required and assigned

• Bachelor's Degree from an accredited university required
• 5+ years Executive Assistant experience or administrative support role equivalent required;
• Knowledge of financial institution products and services, regulatory laws, rules, regulations and guidance required
• Prior experience in financial services or securities industry environment highly preferred
• Heavy calendar and scheduling experience
• Assertive with strong and effective communication skills, both written and verbal
• Highly proficient in MS Office including Word, PowerPoint, and Outlook; basic Excel skills
• Strong organizational skills and meticulous attention to detail
• Ability to handle confidential information with discretion and manage interactions with executives and colleagues with high level of tact and professionalism
• Proactive with the ability to complete tasks with little supervision
• Team-oriented with the ability to work in a demanding and fast-paced environment
• Ability to work in a constant state of alertness and safe manner

Wedbush Securities (WS) aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm provided equal opportunities to succeed.

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $65,000 to $70,000. Colleagues may be eligible for additional , discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to location; skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here ?? https://www.e-verify.gov/employees/e-verify-overview

This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. s eq . , Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.

From: Wedbush Securities