Compliance Officer, Finance & Banking

Overview

• 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.

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.

• 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.