Compliance Officer

An independent broker-dealer and wealth management firm based in Atlanta, Georgia is seeking a Compliance Officer. The firm provides a comprehensive range of financial products and services, including traditional and alternative investments, asset management, multigenerational wealth planning, and family office support. The organization is committed to supporting its advisors with strong compliance oversight, advanced technology, and practice management resources, enabling the delivery of objective, client-focused advice. Through its affiliated RIA, the firm offers customized portfolio management solutions and access to a broad investment platform, guided by disciplined due diligence and a commitment to fiduciary independence.


Responsibilities :
Provide compliance leadership and guidance to registered representatives and advisors
Oversee principal transaction review, email surveillance, consolidated report surveillance, and PST/OBA monitoring and approvals
Support branch audit inspections and review and approve advertising and marketing materials
Enforce compliance policies and procedures, including maintenance and updates to Written Supervisory Procedures for the broker-dealer and RIA
Test supervisory procedures and controls in accordance with FINRA Rule 3120
Oversee trade surveillance, AML program, FINCEN and OFAC compliance, and CRD registrations
Maintain working knowledge of FINRA Gateway, CRD, and IARD systems
Apply knowledge of alternative investments, including AI Insight
Maintain a strong understanding of business activities to ensure appropriate compliance oversight as the firm evolves
Identify compliance gaps, develop solutions, and lead remediation efforts to completion
Monitor regulatory developments and ensure timely implementation of required policies, procedures, and controls
Research and interpret new rules and regulations and assess business impact
Prepare periodic reporting for senior management, including the annual FINRA Rule 3130 certification


Requirements :
Bachelor's degree in a related field or equivalent professional experience
4+ years of supervisory experience and seven or more years of industry experience
FINRA Series 7, Series 24, and Series 63 & 65 or Series 66 required; Series 4, Series 52, or Series 53 preferred
Strong written and verbal communication skills

The expected base salary range for this position is 100,000-120,000, with final compensation determined based on factors such as skills, experience, and qualifications. Compensation may be adjusted for highly qualified candidates within the applicable range.

This role is eligible to participate in a profit-sharing bonus program based on company performance. The firm also offers a Safe Harbor 401(k) plan, including an employer contribution equal to 3% of the employee's annual salary, regardless of employee participation.