Compliance & Risk Specialist

Key Responsibilities Support the COO in administering the firm's compliance and risk management program by collaborating across departments, identifying and escalating compliance issues, and implementing effective controls to mitigate regulatory risk. Maintain the firm's trust and SEC compliance policies, procedures, disclosures, filings, and compliance calendar while monitoring regulatory developments and recommending updates as needed. Coordinate and support SEC, state and other regulatory exams or audits by preparing documentation, facilitating communications, drafting responses, and tracking remediation efforts. Daily Compliance Operations Conduct initial, periodic and annual compliance training to educate and engage employees on compliance policies and procedures. Administer and monitor the firm’s Code of Ethics, including attestations, personal trading activities, reporting of business gifts, outside business activities, etc. Assist in day‑to‑day supervision of marketing related materials, employees’ email communications, portfolio trading and the maintenance of all books and records. Manage continuing education requirements for advisor representatives and complete other firm registration requirements as needed. Assist in administering the firm's Bank Secrecy Act (BSA) and Anti‑Money Laundering (AML) program, including customer due diligence documentation, periodic reviews, and policy maintenance as assigned. Governance and Risk Management Conduct compliance testing, support annual review of firm’s compliance program, and participate in enterprise‑wide risk assessments to evaluate the effectiveness of internal controls and regulatory compliance. Coordinate with third‑party vendors, outside counsel, and internal stakeholders to support vendor due diligence, privacy, cybersecurity, and other compliance initiatives. Assist with corporate governance activities, including maintenance of board and committee materials, bylaws, policies, resolutions, meeting minutes, and regulatory documentation. Provide support to COO in administration of ad‑hoc compliance projects. Education and Experience Requirements Bachelor's degree in Accounting, Finance, Business, Legal Studies, Risk Management, or a related field preferred. 1 to 3 years of job experience in wealth management, financial services, or a legal/paralegal framework, or equivalent compliance or regulatory experience in a financial services setting; highly preferred. Proficiency with Microsoft Excel, including sorting/filtering, pivot tables, data analysis, and reporting functions. Knowledge of the Advisers Act, SEC compliance standards, or trust regulations is a major plus. Must be able to pass a comprehensive criminal and financial background check. Core Competencies Uncompromising Integrity: High ethical and fiduciary standards, with a strict respect for client and firm confidentiality. Analytical Eye: A keen attention to detail with the ability to interpret regulations and apply them practically to daily business operations. Strong Communicator: Excellent verbal and written skills, with the maturity to build trusted relationships across all levels of the firm. Self‑Starter: Highly organized, able to prioritize a diverse workload, and willing to take initiative on ad‑hoc projects. Professional Expectations HFG Trust expects all employees to comply with the responsibilities of their assigned position to the highest degree of performance by: Representing the Company with a high level of integrity, professionalism, and a business‑like appearance. Adhering to our policies and supporting management decisions and goals in a positive manner. Maintaining a strong knowledge and understanding of rules, regulations, and laws pertaining to our services. Demonstrating dependability, neatness, and a willingness to adapt to changing business needs and deadlines. Work Environment Location & Structure: This is a 100% in‑office position operating out of our corporate office. Workplace Dynamics: This role operates in a fast‑paced corporate environment that requires the ability to maintain deep focus and attention to detail despite frequent internal collaboration and regular workplace interruptions. Core Schedule: Requires regular, punctual attendance during standard business hours, with occasional flexibility for extended hours to meet critical regulatory or examination deadlines. Benefits 401(k) company match Employer‑paid medical, dental, and vision insurance coverage for the employee Company‑sponsored health savings account (HSA) contribution Life insurance Paid time off and 11 paid holidays Equal Opportunity Statement HFG Trust provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. #J-18808-Ljbffr