Sr Compliance Consultant - Sales Oversight

What You Can Expect In This Role

This role combines strategic compliance work with hands‑on program support. You will lead key initiatives, partner with senior stakeholders, and support core functions such as electronic communications monitoring, gifts and entertainment review, and remote branch inspections. The ideal candidate brings both investment adviser and broker‑dealer experience and enjoys building practical solutions that strengthen the compliance program.

This role combines strategic compliance work with hands‑on program support. You will lead key initiatives, partner with senior stakeholders, and support core functions such as electronic communications monitoring, gifts and entertainment review, and remote branch inspections. The ideal candidate brings both investment adviser and broker‑dealer experience and enjoys building practical solutions that strengthen the compliance program.

• Lead compliance projects and program enhancements from planning through implementation.
• Work with senior leaders and business partners to identify risks, resolve issues, and move key initiatives forward.
• Support core compliance activities, including electronic communications monitoring, gifts, entertainment and sponsorship reviews, and remote branch inspections.
• Develop and conduct compliance testing and monitoring based on regulatory requirements and identified risks.
• Review reports and exception activity for potential policy, regulatory, sales practice, or supervisory concerns.
• Conduct or support internal investigations involving potential policy violations or compliance concerns.
• Develop and deliver compliance training for employees, registered representatives, and business leaders.
• Provide clear, practical guidance on investment adviser, broker‑dealer, registered investment company, insurance, and sales practice requirements.
• Communicate findings, decisions, and required corrective actions clearly and respectfully, including when the message may be difficult.
• Maintain and improve compliance policies, procedures, workflows, controls, and documentation.
• Monitor regulatory developments and help assess their impact on the organization.
• Build trusted partnerships with business leaders, Legal, and other key stakeholders to influence decisions, navigate complex compliance issues, and move priorities forward.
• Embrace Sammons Financial Group Companies’ shared values of Accountability, Connection, Openness, Respect, and Integrity.
• Maintain regular attendance in accordance with the Company Attendance and Punctuality Policy to meet business service levels and workflow demands.
• Participate in other compliance initiatives and projects as needed.

• Bachelor’s degree in business, finance, risk management, legal studies, or a related field preferred. Equivalent relevant experience may be considered.
• Typically, 7 to 10 years of experience in compliance, risk management, regulatory affairs, or a related financial services role.
• Compliance experience supporting both a registered investment adviser and a broker‑dealer.
• Strong knowledge of U.S. securities regulations, including SEC and FINRA requirements applicable to investment advisers, broker‑dealers, and registered investment companies.
• Experience with compliance testing, surveillance, advertising review, sales practice oversight, gifts and entertainment, or branch inspections.
• Knowledge of insurance operations, variable insurance products, registered separate accounts, or insurance regulations is a plus.
• Experience building or improving compliance programs, processes, controls, or monitoring activities.
• Ability to independently manage projects, set priorities, and follow work through to completion.
• Strong judgment and the ability to interpret complex requirements and apply them to business situations.
• Clear written, verbal, presentation, and training skills.
• Ability to influence others and deliver difficult messages with clarity, professionalism, and respect.
• Strong relationship‑building skills and the ability to work effectively across different roles and levels of the organization.
• Strong analytical,…