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Compliance Officer

1 month ago


Washington, United States Larson Maddox Full time
Job DescriptionJob Description

We are currently partnered with a growing Register Investment Advisor/Broker Dealer looking to add to their compliance team. The Compliance Principal will support compliance operations and provide analytic support within a financial institution.

Compliance Principal Essential Responsibilities:

  • Manage compliance systems, documents, reports, and forms.
  • Oversee Code of Ethics, proxy voting, custody, portfolio compliance, and regulatory filings.
  • Support SEC audits, regulatory reports, and marketing materials.
  • Review monthly reports for compliance.
  • Update CRD registrations for advisors and representatives.
  • Assist with ADV preparation and maintain ADV 2Bs annually.
  • Review Personal Securities Accounts and issue 3210/407 letters.
  • Maintain compliance elements of the Electronic Communication platform.
  • Implement the Firm Element Continuing Education program.
  • Communicate policy violations to the CCO.
  • Troubleshoot and resolve compliance issues.

Compliance Principal Qualifications:

Education & Licenses

  • Bachelor's degree and industry education.
  • Strong writing and communication skills.
  • FINRA Series 7 and 24 (other licenses as needed).

Experience

  • 4+ years in compliance and supervision within financial services, preferably at an RIA.

Knowledge & Skills

  • Advanced knowledge of SEC and FINRA regulations.
  • Understanding of securities products, including insurance.
  • Familiarity with Regulation Best Interest, DOL Rule, and Marketing Rule.
  • Strong communication, analytical, and problem-solving skills.
  • Ability to work independently and maintain confidentiality.
  • Proficient in Microsoft Office Suite.