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Compliance Officer

2 months ago

Indianapolis, Indiana, United States WestPoint Financial Group Full time
Job Overview

WestPoint Financial Group is seeking a highly skilled Compliance Officer to join our team. This role plays a critical part in ensuring our firm and associates adhere to industry guidelines and regulations.

Key Responsibilities:

  • Conduct thorough inspections of affiliated offices and producer interviews, documenting all findings
  • Monitor and enforce disciplinary actions, as well as tailored supervision arrangements
  • Review and monitor advisor transactions, correspondence, sales material, and business practices to ensure compliance
  • Approve and monitor outside business activities, maintaining accurate records
  • Document advisor onboarding and offboarding processes
  • Participate in firm inspections and regulatory audits, providing expert insights
  • Stay up-to-date with industry developments and regulatory changes, ensuring our firm remains compliant
  • Additional duties assigned by supervisor

Requirements:

  • Series 7, 24 (or 9 and 10), 66 (or 63 and 65) licenses
  • Bachelor's degree or equivalent combination of education and experience

Preferred Qualifications:

  • 3+ years of professional experience in a similar role
  • Series 53 preferred, or must pass within 120 days of employment

WestPoint Financial Group is dedicated to delivering exceptional financial services, built on a foundation of integrity, expertise, and client-centricity. Our associates are highly skilled professionals, respected for their precision, product knowledge, and commitment to ongoing growth and development.