Securities Compliance Principal

Job Summary The Securities Compliance Principal is responsible for ensuring the firm’s adherence to all applicable securities laws, regulations and internal policies. This role will be responsible for review and approval of new accounts, assist with advertising review, conduct branch examinations and assist in investigations into compliance issues, respond to inquiries from branches and advisors on matters related to compliance. This role reports to the Director-Compliance Operations. Key Responsibilities Review and approve new investment accounts Review and approve advertising and marketing materials as necessary Review email and correspondence as necessary Conduct branch examinations as assigned Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules and other general inquiries. Support the Broker‑dealer and RIA Chief Compliance Officers on projects as assigned. Assist management and other compliance personnel with the completion of various projects and testing. Other duties as assigned. Position Requirements Bachelor’s degree (B.A./B.S.) in a related discipline required. Minimum five (5) years of Compliance and/or regulatory experience within both RIA and broker‑dealer business segments. Series 7, 24 (or 26), 65 (or 66), Series 53 (or 51) Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate. A deep understanding of industry rules governing supervision, suitability, and registrations. Excellent technology and communication skills. Ability to work independently to manage time and prioritize tasks efficiently. Be a motivated self‑starter who can make thoughtful, deliberate decisions with minimal assistance. The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes. Preferred Qualifications Previous experience with and a thorough understanding of regulatory requirements under Reg‑BI and PTE 2020‑02. Life, Health, & Variable Annuity license. Experience with the Pershing Brokerage platform as well as audits and exams. Compensation The salary for this position generally ranges between $70,000-90,000. This range is an estimate, based on candidate qualifications and operational needs. The firm also has a bonus program. Benefits 401(k) with Employer Match Health Insurance (with HSA option) Dental Insurance Vision Insurance Life Insurance Generous Time Off Policy Paid Mental Health Days Flexible Spending Account (FSA) Healthy Work/Life Balance Maternity/Paternity Leave Policy Remote Work Opportunity World Investment Advisors is an equal opportunity employer. We believe the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging. World is committed to equality and deeply believes in diversity, sexual orientation, gender, race, religion, ethnicity and other qualities that make us all different. #J-18808-Ljbffr World Insurance Associates, LLC.