Compliance Officer

This role will help maintain effective policies and procedures, support regulatory compliance efforts, conduct compliance reviews, and assist with surveillance, audits, advisory program support, customer complaints, regulatory requests, and departmental projects. If you have broker-dealer and/or Registered Investment Adviser compliance experience and are looking for a role where you can support regulatory programs, compliance reviews, and advisory operations, we’d love to hear from you.

Compliance Officer
We are seeking a Compliance Officer to support both broker-dealer and Registered Investment Adviser compliance functions. This role will help maintain effective policies and procedures, support regulatory compliance efforts, conduct compliance reviews, and assist with surveillance, audits, advisory program support, customer complaints, regulatory requests, and departmental projects.

The ideal candidate has experience in broker-dealer and/or investment adviser compliance, strong communication skills, and the ability to review complex regulatory requirements and explain them clearly to business partners.
What You’ll Do

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  Support the administration and enhancement of the firm’s Registered Investment Adviser compliance program.
  
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  Assist with the preparation, maintenance, and annual updates of Form ADV Parts 1, 2A, and 2B.
  
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  Support the annual compliance review required under Rule 206(4)-7 of the Investment Advisers Act.
  
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  Conduct on-site compliance inspections of branch and home office locations.
  
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  Communicate inspection findings in a clear, professional, and unbiased manner.
  
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  Identify, investigate, and help resolve compliance issues or potential regulatory concerns.
  
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  Support compliance surveillance activities for broker-dealer and advisory functions.
  
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  Assist with education and guidance for firm associates on regulatory and compliance matters.
  
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  Support the annual CEO Certification process.
  
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  Assist with the review and updates of written supervisory procedures and compliance policies.
  
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  Support advertising and marketing review, customer complaints, regulatory requests, examinations, and other compliance projects.
  
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  Travel as needed for branch inspections and compliance activities.
  

Requirements

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  Bachelor’s degree, preferably in business, or equivalent professional experience.
  
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  3–5 years of compliance experience within a broker-dealer and/or Registered Investment Adviser environment.
  
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  Series 7 required, or adequate experience working within an investment adviser environment.
  
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  Experience supporting Investment Adviser Representatives and advisory programs.
  
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  Knowledge of compliance surveillance, supervision, and regulatory review processes.
  
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  Ability to conduct compliance reviews, identify issues, and support corrective actions.
  
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  Strong written and verbal communication skills.
  
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  Ability to understand complex policies, procedures, and regulatory requirements.
  
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  Ability to explain compliance information clearly and professionally to others.
  
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  Proficiency with Microsoft Office, including Word, Excel, PowerPoint, and Outlook.
  
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  Ability to travel approximately 25%–30%.
  

Preferences

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  Series 24 license.
  
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  Series 65 or Series 66 license.
  
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  Experience with both broker-dealer and Registered Investment Adviser compliance.
  
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  Experience preparing or supporting Form ADV updates.
  
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  Experience with branch audits, home office inspections, or regulatory examinations.
  
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  Experience reviewing advertising, marketing materials, customer complaints, or regulatory requests.
  
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  Knowledge of SQL.
  

Why This Role
This is an opportunity to support a broad compliance function across broker-dealer and investment adviser operations. You will play an important role in helping maintain strong regulatory practices, supporting advisory programs, conducting compliance inspections, and partnering with business teams to promote effective compliance standards.
Apply Now
If you have broker-dealer and/or Registered Investment Adviser compliance experience and are looking for a role where you can support regulatory programs, compliance reviews, and advisory operations, we’d love to hear from you. Apply today to learn more.