Regional Compliance Officer

Job Description

Job Description

Centaurus Financial, Inc. (“CFI”) is a full-service broker/dealer and registered investment advisor catering to the independent investment professional. Our independent Registered Representatives, Investment Adviser Representatives and clients are located throughout the country.

CFI is seeking a registered securities principal to join our Compliance Department as a Regional Compliance Officer, supporting branch offices throughout the United States. We offer an opportunity for a motivated, meticulous self-starter to work with a highly skilled staff in a fast-paced environment.

The qualified candidate should have a broad-based understanding of the securities rules and regulations as established by the SEC, FINRA and States as well as conventional compliance requirements for retail investment activities. The ability to use professional business interpersonal skills and communicate effectively, both orally and in writing, while providing attentive service and building rapport with Registered Representatives in the field, is crucial. Some overnight travel may be required. The position will report directly to the Deputy Chief Compliance Officer.

Key responsibilities include, but are not limited to:

• Serve as supervisory principal for assigned branch offices and OSJs.
• Conduct branch inspections and special reviews; prepare reports, document findings, and track remediation.
• Review new account documentation, application-way transactions, and various reports for compliance with regulatory standards and firm policies.
• Review and approve correspondence, marketing, and sales materials to ensure compliance with FINRA and SEC advertising rules.
• Provide guidance, supervision, and training to Registered Representatives and OSJ Branch Managers on compliance obligations, Reg BI, and firm policies and procedures.
• Review and assess outside business activities (OBAs), personal securities transactions, and Form ADV Part 2B supplements.
• Investigate, document, and respond to customer complaints in accordance with regulatory and firm protocols.
• Serve as a corporate OSJ Manager, if and when required.
• Support Compliance Department projects including regulatory examinations, policy/manual updates, training initiatives, and technology implementations.
• Maintain up-to-date knowledge of securities industry regulations and evolving compliance requirements.

Required Qualifications

• Bilingual/Spanish speaking a must.
• Bachelor’s degree (or equivalent professional experience).
• Minimum 3 years of financial services industry experience in compliance, supervision, or related roles within a broker-dealer and/or RIA.
• Active (in-good-standing) FINRA registrations: Series 7, 24, 63 & 65 or Series 66.
• Comprehensive knowledge of FINRA, SEC, and state securities rules and regulations, with proven ability to apply them in a retail investment environment.
• Strong written and verbal communication skills with the ability to explain complex regulatory requirements in practical terms.
• Demonstrated experience conducting inspections, supervisory reviews, and preparing professional-quality reports.
• High attention to detail, integrity, and sound judgment in handling sensitive and escalated compliance matters.

Centaurus Financial Inc. employs a total compensation approach when rewarding employees. This includes a base salary and a discretionary bonus. The base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. Although bonuses are discretionary, Centaurus has paid a bonus every year in its 30+ year history.

No relocation expense/reimbursement to this area is available.

Company Description

Founded in 1992, Centaurus was formed with a singular focus – to provide unparalleled service, support, technology, and education to independent financial advisers in the securities industry. While the industry as a whole and Centaurus itself have evolved dramatically since our inception, the uncompromising focus of the company remains the same to this day. Through this focus, Centaurus has grown to become a leading independent broker/dealer providing a platform for financial advisers across the country to successfully grow their business and serve their clients.

Company Description

Founded in 1992, Centaurus was formed with a singular focus – to provide unparalleled service, support, technology, and education to independent financial advisers in the securities industry. While the industry as a whole and Centaurus itself have evolved dramatically since our inception, the uncompromising focus of the company remains the same to this day. Through this focus, Centaurus has grown to become a leading independent broker/dealer providing a platform for financial advisers across the country to successfully grow their business and serve their clients.