Compliance Officer

1 month ago


Scottsdale, United States Annexus Group Full time

Annexus is a leading financial institution that designs and distributes innovative investment and retirement solutions. We have an immediate opening for a Compliance Officer. The Annexus Compliance Officer, working under the direction of the Chief Compliance Officer, is responsible for compliance analysis, programs, initiatives, and policies and procedures for all product lines offered to meet business objectives and profitability goals.


Principal Duties and Responsibilities:

  • Staying up to date on federal, state and SRO regulations and evaluating potential impact to the firm’s type of business and its written policies and procedures.
  • Update applicable written policies and procedures for consistency with new regulations or activities.
  • Maintain and update the firm’s monitoring, testing and surveillance program.
  • Testing and reviewing the firm’s electronic communications for any misleading information or suspicious activity.
  • Review and approve Sales Material and Advertising.
  • Assist with monitoring, filing and amending the firm’s and its registered persons FINRA registrations, state insurance licensing and continuing education requirements.
  • Assist in development and implementation of the firm’s continuing education plan to complete compliance training for the firm.


Job Requirements:

  • Bachelor’s Degree; Juris Doctor a plus.
  • FINRA Series 7 registration is currently active.
  • Must obtain Series 14 or 24 and 63 within 6 months of hire.
  • Life and Annuity Insurance license is preferred.
  • Minimum 3-5 years of strong front-line of securities, fixed indexed and variable annuities, and life insurance compliance experience.
  • Excellent project management and process improvement skills.
  • Strong communication, presentation, and analytical skills.
  • Ability to influence change.
  • Organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Ability to work independently and communicate results.
  • Proficient working with Excel, Acrobat, Access, Outlook, PowerPoint.


All applicants are required to take a PI Survey and are subject to a background check prior to hire.


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