Why is This a Great Opportunity?
• Join a well-established, highly reputable financial services organization with over a century of success.
• Directly contribute to a strong culture of integrity, transparency, and regulatory excellence.
• Collaborate closely with firm leadership on compliance and risk management initiatives.
• Gain exposure to both investment advisory and broker-dealer regulatory environments.
• Opportunity for continued professional growth, licensing, and advancement.
Job Description:
The Compliance Officer supports the firm’s compliance program by overseeing the implementation of internal controls, policies, and monitoring systems that mitigate regulatory and operational risks.
This role works cross-functionally with management and business teams to ensure compliance with applicable laws, rules, and regulations.
• Develop, update, and enforce compliance policies, procedures, and internal controls.
• Monitor sales, marketing, and client activities for adherence to regulations.
• Review communications, advertising, and social media for compliance accuracy.
• Interpret industry regulations and provide clear, actionable guidance.
• Support training and continuing education programs.
• Review money movement, AML, and exception-based monitoring reports.
• Prepare responses to regulatory inquiries and examinations.
• Provide compliance support and build a proactive compliance culture across teams.
Qualifications:
• Bachelor’s degree preferred.
• Active securities licenses Series 7 and 63/66 required; Series 4, 9, 10, or 24 to be obtained within six months.
• Strong knowledge of RIA and Broker-Dealer regulatory environments.
• Excellent communication and analytical skills.
• Ethical, detail-oriented, and able to manage confidential information.
#30407
...Job Description American Traveler is seeking a travel nurse RN Clinic PACU - Post Anesthesia Care for a travel nursing job in San Francisco... ...Housing Allowance ~ Travel and Licensure Reimbursements ~ Non-taxed Per Diem and Subsidy ~ Traveler Rewards and Discounts...
...destination. Together, we have developed two new concepts: a 100 seat brasserie and bar (Le Depot Brasserie) and a French pastry & coffee shop (Union Patisserie). Position Overview: The Host at Le Depot Brasserie will be responsible for greeting and seating guests,...
...Licensed Marriage and Family Therapist (LMFT) Titan Placement Group invites you to explore an exciting opportunity for a Licensed Marriage and Family Therapist position in Highlands Ranch, CO. This role is with a leading behavioral health organization dedicated...
...want YOU to join our LAZ family! We are an employee first company who care about you and what you think! **The Details** Our Event Staff operate out of Q2, Moody Center & Austin Rodeo Location: Austin, Texas Pay Rate: $14/hr Approximately 24-32 hours per week...
...other duties assigned by management.IDEAL CANDIDATE POSSESSES THESE ATTRIBUTES:* High School Diploma or GED required.* Valid driver's license* Friendly and courteous with excellent customer service skills* A positive attitude, good work ethic, and well-...