Overview:
This role combines strategic compliance work with hands-on program support. You will lead key initiatives, partner with senior stakeholders, and support core functions such as electronic communications monitoring, gifts and entertainment review, and remote branch inspections. The ideal candidate brings both investment adviser and broker-dealer experience and enjoys building practical solutions that strengthen the compliance program.
Responsibilities:
- Lead compliance projects and program enhancements from planning through implementation.
- Work with senior leaders and business partners to identify risks, resolve issues, and move key initiatives forward.
- Support core compliance activities, including electronic communications monitoring, gifts, entertainment and sponsorship reviews, and remote branch inspections.
- Develop and conduct compliance testing and monitoring based on regulatory requirements and identified risks.
- Review reports and exception activity for potential policy, regulatory, sales practice, or supervisory concerns.
- Conduct or support internal investigations involving potential policy violations or compliance concerns.
- Develop and deliver compliance training for employees, registered representatives, and business leaders.
- Provide clear, practical guidance on investment adviser, broker-dealer, registered investment company, insurance, and sales practice requirements.
- Communicate findings, decisions, and required corrective actions clearly and respectfully, including when the message may be difficult.
- Maintain and improve compliance policies, procedures, workflows, controls, and documentation.
- Monitor regulatory developments and help assess their impact on the organization.
- Build trusted partnerships with business leaders, Legal, and other key stakeholders to influence decisions, navigate complex compliance issues, and move priorities forward.
- Embrace Sammons Financial Group Companies’ shared values of Accountability, Connection, Openness, Respect, and Integrity.
- Maintain regular attendance in accordance with the Company Attendance and Punctuality Policy to meet business service levels and workflow demands.
- Participate in other compliance initiatives and projects as needed.
Qualifications:
- Bachelor’s degree in business, finance, risk management, legal studies, or a related field preferred. Equivalent relevant experience may be considered.
- Typically, 7 to 10 years of experience in compliance, risk management, regulatory affairs, or a related financial services role.
- Compliance experience supporting both a registered investment adviser and a broker-dealer.
- Strong knowledge of U.S. securities regulations, including SEC and FINRA requirements applicable to investment advisers, broker-dealers, and registered investment companies.
- Experience with compliance testing, surveillance, advertising review, sales practice oversight, gifts and entertainment, or branch inspections.
- Knowledge of insurance operations, variable insurance products, registered separate accounts, or insurance regulations is a plus.
- Experience building or improving compliance programs, processes, controls, or monitoring activities.
- Ability to independently manage projects, set priorities, and follow work through to completion.
- Strong judgment and the ability to interpret complex requirements and apply them to business situations.
- Clear written, verbal, presentation, and training skills.
- Ability to influence others and deliver difficult messages with clarity, professionalism, and respect.
- Strong relationship-building skills and the ability to work effectively across different roles and levels of the organization.
- Strong analytical, investigative, organizational, and problem-solving skills.
- Attention to detail and a consistent approach to documentation and follow-through.
- Proficiency with Microsoft Office applications and the ability to learn compliance monitoring, surveillance, and regulatory filing systems.
- Series 7 and Series 24 preferred; Series 6 and Series 26 also accepted.
- Ability to travel occasionally to company offices, branch locations, or industry conferences.
Suitability Requirements:
• Criminal background check required.
• If the position is in the SIG business unit, Annuity New Business Securities team, or if we are holding securities licenses, FINRA regulations require fingerprinting for this position; if we are holding securities licenses, a credit check will also be required. Management reserves the right to determine and approve incumbent suitability for this position.
Pay Range:
USD $61,622.00 - USD $128,278.00 /Yr.
Pay Transparency Verbiage:
Range includes data points from multiple labor markets. Specific range is dependent on the labor market where the incumbent will be hired to perform the position. Starting salary is dependent on candidate qualifications and experience. For a narrower salary range specific to your labor market, please inquire.
Company Information:
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Comprehensive health coverage for you and your family, including Medical, Dental, Vision, HSA & FSA options, and term life insurance.
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Competitive compensation with a performance-based incentive program tied to clear goals and individual and/or company success.
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Invest in your future with our 100% company-funded Employee Stock Ownership Plan (ESOP), plus automatic enrollment in our 401(k).
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Work–life balance that means something. Friday afternoons off year-round, generous paid time off, and paid holidays.
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Commit to your growth with paid development time, tuition reimbursement, and professional development opportunities across industry, individual, and leadership programs.
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Make an impact beyond the workplace through volunteer time off, and our company nonprofit matching gift program, supporting the causes that matter most to you.
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An ownership culture that inspires; join a connected, values-driven workplace where employees take accountability, support one another, and are empowered to do their best work—together shaping our future shared success.
Work Authorization/Sponsorship:
At this time, we’re not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)
Additional Information:
Sammons Financial Group Is An Equal Opportunity Employer
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or any other characteristic protected by applicable law.
ADA
Sammons Financial Group is committed to providing reasonable accommodations to qualified individuals with disabilities in all aspects of the employment process. If you need assistance or a reasonable accommodation at any stage of the application or hiring process, including navigating our website or applying for a position, please contact HR@sfgmembers.com or call 800-728-2987.
E-Verify
Sammons Financial Group participates in E-Verify and will provide the Social Security Administration and, if necessary, the Department of Homeland Security with information from each new employee's Form I-9 to confirm work authorization.
Policy for External Search Firms and Agencies
Sammons Financial Group maintains an internal Talent Acquisition function and does not accept unsolicited resumes or candidate submissions from search firms, staffing agencies, or other third-party recruiting vendors. Please review our Recruitment Agency Policy for additional information here.