Compliance Specialist, Finance & Banking

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.

• 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

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.