Compliance Coordinator

Job DescriptionProspectBlue has partnered with an Investment Bank who is seeking a Compliance Coordinator for their office in Richmond, VA. This role contributes to the firm's risk management and regulatory compliance initiatives by supporting day-to-day activities and ensuring adherence to applicable standards. The position offers opportunities for advancement based on individual contributions, team priorities, and broader business needs.Key ResponsibilitiesAssist in administering ongoing compliance education programs (including firm and regulatory requirements), develop instructional materials, and monitor employee completion status Provide support in reviewing and approving marketing materials, maintaining testing and review records, and gathering employee account documentation Manage and update employee compliance records, including onboarding documentation, FINRA registrations, and other required filings Help ensure that transaction files and compliance-related materials are complete and aligned with regulatory expectations Track and follow up on periodic certification processes related to electronic communications, registrations, and recordkeeping requirements Contribute to preparation efforts for branch examinations and reviews Maintain an organized repository of audits, exams, and review activities Conduct due diligence screenings for third-party vendors and contractors Coordinate scheduling for board meetings and internal team events Perform quality assurance checks when needed Recommend and help implement enhancements to processes and documentation to strengthen compliance and mitigate risk Qualifications & SkillsBachelor's degree or comparable professional experience Prior compliance experience is not required; however, a genuine interest in the field is essential, as this role is designed for long-term development within the team Strong organizational skills with close attention to detail and the ability to manage deadlines effectively Excellent written and verbal communication skills, with the ability to collaborate in a team environment Motivated self-starter who can also work collaboratively, build relationships, and influence outcomes Proactive and inquisitive mindset with a focus on identifying opportunities for continuous improvement