Compliance Officer

About the role

The Compliance Officer, working under the direction of the Chief Compliance Office, supports the design, implementation, and ongoing oversight of the firm’s compliance program within a wholesale broker dealer model. This role partners closely with senior leadership to promote a strong culture of compliance, ensure adherence to applicable regulatory requirements, enhance supervisory processes across the organization, and support business activities conducted with registered financial professionals and institutional intermediaries. The Compliance Officer plays a key role in advising the business on compliance considerations specific to a wholesale environment, including maintaining boundaries between wholesale and retail activities, and helps ensure the firm’s supervisory framework remains effective, risk-focused, and aligned with regulatory expectations. This individual is a strategic partner to the business – someone who can influence change, navigate complexity with sound judgment, and approach challenges with a solutions-oriented mindset. The ideal candidate brings a steady presence, remains calm under pressure, and is able to guide the firm through evolving regulatory and business demands while protecting the integrity of the organization.

Responsibilities

• Support the administration and continuous enhancement of the firm’s compliance program
• Aid in the development, implementation, and maintenance of written supervisory procedures (WSPs)
• Provide guidance to business partners on regulatory requirements, with a focus on wholesale distribution activities
• Monitor and enforce appropriate wholesale boundaries to mitigate retail-related regulatory risk
• Participate in compliance testing, monitoring, and internal reviews
• Oversee or support sales and advertising review in accordance with applicable regulatory standards
• Coordinate responses to regulatory inquiries and assist in communications with regulators
• Aid in the coordination and management of regulatory examinations and audits
• Oversee licensing and registration processes for registered representatives
• Absorb or support the supervision and development of members of the compliance team
• Lead or participate in enterprise-wide initiatives and cross-functional projects
• Take ownership of large, complex projects and drive execution from planning through completion
• Support training and communication initiatives to reinforce a culture of compliance
• Monitor regulatory developments (federal, state and SRO regulations) and assist in evaluating and implementing updates impacting the firm and its business

Requirements

• Active FINRA registrations: SIE and either Series 6 or 7 required
• Either Series 26 or 24 required (or ability to obtain within 6 months of hire)
• Series 14 preferred (or ability to obtain within 6 months of hire)
• Life and Annuity Insurance license preferred
• Minimum 2 years’ experience within a broker dealer compliance program; wholesale or distribution-focused experience preferred
• Demonstrated ability to influence change and partner effectively with business leaders
• Pioneered ability to organize, prioritize, and execute on large-scale projects
• Passion for building and enhancing a culture of compliance
• Proven ability to remain composed under pressure and navigate complex, fast-moving situations
• Solutions-oriented mindset with the ability to balance business objectives and regulatory requirements (not a “no-first” approach)
• Strong understanding of broker dealer and agency regulatory frameworks and supervisory practices
• Excellent judgement, communication, presentation, and analytical skills
• Proficient in Microsoft products
• Organized with the ability to handle multiple tasks and multiple priorities simultaneously
• Ability to work independently and communicate results