Compliance Field Advisor

About the role

We are seeking a Compliance Field Advisor to join our Compliance team. The role involves conducting examinations to ensure compliance with market conduct standards and regulatory rules.

Responsibilities

• Prepare written reports of office examinations for compliance and management review
• Develop action plans to address potential problems related to company policies and industry regulations
• Aid in the training and development of team members, educating them on compliance issues
• Audit the effectiveness of procedural changes
• Provide new supervisor training within the assigned territory
• Assist with the audit workflow and reporting

Requirements

• College degree or equivalent with 3 years of broker dealer, investment advisor, or insurance compliance experience
• FINRA Series 6 (or 7) required at the time of hire, Series 26 (or 24) preferred
• Series 7 and 24 required within 4 months of hire
• Must keep current with FINRA, SEC, and Insurance rules and regulations
• Working knowledge of Microsoft Office, with high accuracy in Excel and Word
• Self-starter with excellent time management and organizational skills
• Valid driver's license required for 75% travel with overnight stays

Qualifications

Attention to detail, excellent time management and organizational skills required.

Skills

• Attention to detail
• Excellent time management
• Organizational skills

Benefits

Enhanced 401K with a match, low cost health, dental, and vision benefits, life and disability insurance options, paid time off, including holidays and volunteer time, company cell phone.

Pay

Details TBD

Schedule

Travel 75% of the time within your assigned territory, work from home office and the field.