Compliance Officer, Finance & Banking

Larson Financial Group, LLC seeks a Compliance Officer to support the Legal & Regulatory Compliance department within our financial services firm focused on medical professionals. You will oversee compliance programs, monitor regulatory changes, conduct reviews, and advise leadership and Financial Advisors on SEC/FINRA and state regulations. Partnering closely with our client-centric advisory team, you will help ensure ethical practices, mitigate risk, and support compliant delivery of tailored financial strategies to clients nationwide.

Responsibilities

• Design, maintain, and enhance the firm's compliance program and policies
• Monitor SEC, FINRA, and state regulatory changes and advise leadership
• Conduct periodic compliance reviews, testing, and surveillance
• Support and oversee advisor activities and marketing material reviews
• Investigate and document client complaints and incidents
• Prepare for and support internal and external audits and regulatory exams
• Deliver compliance training and guidance to Financial Advisors and staff
• Maintain required records and reporting for regulators
• Collaborate with Legal & Regulatory Compliance and advisory teams on new initiatives
• Identify and mitigate emerging compliance and operational risks

Required Skills

• Regulatory compliance (SEC/FINRA)
• Risk assessment and monitoring
• Policy development and implementation
• Compliance testing and surveillance
• Investment advisory compliance
• AML/KYC procedures
• Audit preparation and response
• Complaint and incident investigation
• Compliance training delivery
• Microsoft Excel and compliance systems