Compliance Principal

7 days ago

McLean, United States Larson Maddox Full time

The Compliance Principal will leverage their experience in compliance, technology, or operations within a financial institution to support compliance operations and provide analytical oversight across the firm.

Compliance Principal Key Responsibilities:

  • Manage compliance systems, reports, manuals, and documents for regulatory reviews.
  • Oversee compliance with the Code of Ethics, proxy voting, custody, portfolio compliance, and filings.
  • Assist with SEC audits, regulatory reports, amendments, and marketing material reviews.
  • Conduct compliance reviews of monthly reports, such as branch bank statements.
  • Update CRD registrations for advisors and representatives as needed.
  • Support the CCO with ADV preparation and annual ADV 2B maintenance.
  • Monitor personal securities accounts and issue 3210/407 letters.
  • Manage compliance aspects of the Electronic Communication platform.
  • Help implement the Firm Element Continuing Education program.
  • Collaborate with supervision to address policy violations and resolve compliance issues.


Compliance Principal Qualifications:

  • Education & Licensing:
  • Bachelor’s degree required.
  • Strong communication skills.
  • FINRA Series 7 and 24 licenses (additional licensing may apply).
  • Experience:
  • 4+ years in compliance or supervision within financial services (RIA experience preferred).
  • Knowledge & Skills:
  • Proficiency in SEC and FINRA regulations, securities, and insurance products.
  • Familiarity with regulations such as Reg BI, DOL Rule, and the Marketing Rule.
  • Strong analytical, problem-solving, and decision-making skills.
  • Ability to work independently and maintain confidentiality in a team setting.
  • Skilled in Microsoft Office and operational platforms.

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