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Job Title:         Operations & Compliance Associate

Location:         Rochester Office

Reports to:      Chief Administrative Officer

FLSA Status:  non-exempt

To apply, please send resumes to


Project a professional firm image through in-person and phone interaction. Solve problems proactively with an emphasis on accuracy, efficiency, and client service.

Essential Duties & Responsibilities

  • Provides CAO/CCO support on a variety of project-related tasks
  • Maintains relevant knowledge of required forms and supporting documents, firm best practices, and general compliance regulations
  • Process requests on trading and services platform and with outside entities, including follow-up
  • Anticipate and respond to problems proactively, efficiently, and flexibly
  • Set up and coordinate meetings and conferences
  • Liaise with co-workers at Brighton Securities, Account Service Associates at First Clearing, mutual fund wholesalers and outside vendors in person, on the phone and in writing
  • Proactively initiate, develop, and implement procedures and procedural improvements with an eye to efficiency, technology and client service
  • Proactively identify opportunities for operational and improvement
  • Proactively seek opportunities to broaden and deepen knowledge base and proficiencies
  • Provides basic support and collaboration in completing analysis, providing ad-hoc reports, information or process mapping, and/or alignment of the business and related resources
  • Provides timely and appropriate communications on work status
  • Support the organization through detailed analysis and/or data interrogation
  • Maintain a pleasant and helpful demeanor with clients and co-workers
  • Performs other related duties as assigned


  • Skills - Ability to create advanced interactive and variable financial models with measurement tools. Intermediate Microsoft Office skills (Excel, Word, Power Point). Ability to query raw data using multiple tools.  Strong interpersonal, written and presentation skills. Ability to multi-task and prioritize workload. Self-starter, needing little motivation or direct supervision.
  • Education - Associate’s degree required, Bachelor’s degree in related field preferred.
  • Experience: Two (2) years of financial industry experience is preferred but not required.
  • A combination of education and experience will be considered.
Brighton Securities provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

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