About this role
Position Summary: The primary responsibility of the position is to assist CNL Securities Compliance in the effective administration of compliance oversight of securities activities to ensure compliant processes of associated persons as mandated by FINRA, SEC, and state regulatory entities. The Compliance Specialist will assist the CCO and the Compliance and Legal team with various aspects of administrative activities, reporting, testing, and become familiar with firm activities and processes. This role will primarily assist the CCO on specific compliance administration tasks and special projects with an expectation to become the owner of multiple initiatives over a short period of time.