Compliance Officer

Larson Financial · St Louis, MO · 1 wk ago

OTHRFull-time

About the role

The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”). LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm’s policies and procedures.

In addition to other duties as assigned, COs help maintain regulatory compliance by researching and communicating requirements, reviewing and approving applications and advertising materials, testing policies and procedures and supporting internal and external audits. COs may be named as Designated Supervisory Principal and/or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program.

Reports to: Chief Compliance Officer

Responsibilities

Research and communicate regulatory requirements
Review and approve applications and advertising materials
Test policies and procedures
Support internal and external audits
Serve as Designated Supervisory Principal or Subject Matter Expert for certain branches or areas of the Firms' Compliance Program
Other duties as assigned

Requirements

Bachelor’s Degree or higher
Series 7, Series 66 (63/65) and Series 24 or Series 9/10 licenses
5+ years’ experience in financial services

Qualifications

Series 53, Series 27 or Series 28 and life and health insurance license (desired)
Professional certification such as CRCP®, IACCP®, CFE, CRM or CAMS (desired)
Experience with private equity, variable insurance or other complex products (desired)
Experience developing and implementing compliance programs (desired)
High levels of integrity, confidence, self-awareness and a sense of humor
Team player with the ability to work with minimal supervision
Accountable and willing to hold others accountable
Critical thinker with strong analytical and investigative skills
Able to easily grasp and comprehend risks
Able to handle sensitive and confidential information with prudence and care
Adaptable to working in a fast-paced environment
Strong communication and conflict resolution skills
Strong organization skills and attention to detail
Continuous improvement mindset
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, etc.)

Benefits

Profit Sharing Bonus Program
401(k) with Employer Match (up to 4%)
Comprehensive Medical, Dental, and Vision Insurance
Company-paid Long-term Disability, Life Insurance, and EAP
Voluntary Short-term Disability and Supplemental Insurance
Generous PTO (112 hours after 90 days) + 12 Paid Holidays
Training, Development, and Educational Opportunities
Company Events, Recognition Awards, and Team Activities