Compliance Specialist

Overview Compliance Officer to join a growing financial services platform operating across both a FINRA-registered broker-dealer and an SEC-registered investment adviser. The role provides broad exposure across wealth management, retirement solutions, fixed income trading, structured products, and advisory services. Responsibilities Support broker-dealer and RIA compliance programs, including interpretation and application of SEC, FINRA, and state regulations Maintain and enhance supervisory procedures, policies, and internal controls across multiple business lines Conduct branch and home office compliance reviews, risk-based testing, and ongoing surveillance activities Monitor employee personal trading, communications, marketing materials, customer complaints, and trading activity (including fixed income and structured products) Provide compliance guidance to advisors, registered representatives, and internal stakeholders on suitability, conflicts of interest, and regulatory expectations Support compliance training and ongoing regulatory education initiatives Assist with Form ADV updates (Parts 1, 2A, 2B) and related disclosures Support SEC, FINRA, and state regulatory examinations and audits, including documentation requests and responses Contribute to Written Supervisory Procedures (WSPs), compliance manuals, annual reviews, and executive certifications Participate in new business initiatives, product reviews, regulatory impact assessments, and ad hoc compliance projects Qualifications We are looking for someone with a Bachelor’s degree and 3–5 years of compliance experience in a broker-dealer, investment adviser, or dual-registrant environment. Strong knowledge of SEC, FINRA, and state regulatory frameworks is required, including supervision, suitability, advertising, and advisory compliance. FINRA Series 7, 24, and 66 are required. #J-18808-Ljbffr