Compliance Associate

Compliance Associate

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Signal Advisors is on a mission to solve the retirement crisis. 69% of Americans do not work with a financial advisor today, and only a quarter have a financial plan. Our team is reimagining a 60‑year‑old industry—bringing new technologies, comprehensive services, and an inspired vision to financial advisors. Supported by our incredible investors, we’ve grown from a small Detroit‑based team in 2020 to over 130+ team members dispersed across the country.

We are:
Empowering Leaders. Client Advocates. Entrepreneurial Champions.

Our team is a blend of industry experts and technologists building a better business, together. We’re in it for the long haul. Are you looking to be part of a dedicated, dispersed team where you can architect your impact and shape the company’s vision? Join us at Signal!

As the Compliance Associate, you will be a key partner to the Chief Compliance Officer (CCO) in executing the firm’s compliance program. You will support and monitor the regulatory compliance programs for the Signal Wealth offering, focusing on SEC RIA regulations, licensing, registration, sales and marketing review, and internal control monitoring to ensure adherence to applicable SEC and FINRA rules and firm policies.

You will need to be deadline and detail‑oriented to ensure we are always "Doing the right thing".

• Review and monitor the sales and trading activities of financial advisors, tracking, reporting, and resolving deficiencies related to exception reports.
• Respond to state registration inquiries and coordinate the compliance on‑boarding of new financial advisors.
• Assist in the investigation and resolution of customer complaints and inquiries from regulatory bodies (FINRA/SEC/State).
• Provide monthly and quarterly compliance reports and assist with responding to firm inquiries.
• Assist with marketing review, including internal and external advisor and retail client collateral.
• Assist with IAR supervision including issue identification and remediation, account billing and suitability review, and other supervision duties.
• Help monitor employee account oversight and maintain internal regulatory records.
• Act as a compliance resource, providing guidance on regulatory requirements and firm policies across all business lines.
• Other compliance‑related responsibilities due to continued growth.

• A person with the aptitude for analysis, investigation, and problem‑solving, who is obsessed with finding a better way to streamline regulatory processes.
• An energetic professional with outstanding organizational and time‑management skills who can act with a sense of urgency to meet critical deadlines.
• Someone with excellent verbal and written communication skills to provide clear compliance guidance to advisors and respond to regulatory inquiries.
• An individual who embodies integrity and understands that sticking to the highest standard is not optional.

• Minimum of two years compliance and/or supervisory experience within an RIA.
• Insurance and securities marketing review experience.
• FINRA Series 65/66;
  Series 7 and annuity and insurance knowledge is a nice to have.
• Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations.
• Deadline and detail‑oriented with outstanding organizational and time‑management skills.
• Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving.

• Obsessed with finding a better way. Never settle for less.
• Act with a sense of urgency. Use best judgment to act urgently on the right things at the right time.
• Raise our level of awareness. Everything starts with awareness.
• Find inches everywhere. There are thousands of opportunities to make an impact. Take those opportunities and act.
• Do the right thing. Sticking to the highest standard of integrity is not optional.
• Have strong opinions, loosely held. It’s about what is right, not who is right.
• Simplicity is genius. Simplicity makes everything better.
• Idea…