Compliance Officer

The Compliance Department oversees the development, implementation, and ongoing maintenance of the firm’s compliance program to ensure adherence to applicable regulatory requirements governing broker-dealer operations. The team also provides compliance oversight for an affiliated broker-dealer entity.The Compliance Officer will support day-to-day compliance activities across branch offices and corporate business units, helping to promote a strong culture of compliance and effective supervisory controls throughout the organization. This role offers broad exposure to regulatory oversight, surveillance, and advisory responsibilities within a dynamic financial services environment.Key ResponsibilitiesConduct periodic compliance examinations of branch offices and home office departments, documenting findings and communicating results in a clear and objective mannerIdentify potential regulatory risks or control weaknesses and partner with stakeholders to support remediation effortsProvide guidance and education to employees on regulatory expectations, firm policies, and compliance best practicesAssist with firmwide regulatory certification processes, including annual executive certificationsSupport investment advisory compliance activities, including preparation and updates related to Form ADV disclosuresParticipate in the review, maintenance, and enhancement of written supervisory procedures and internal policiesAssist with compliance surveillance activities such as employee trading reviews, marketing and advertising oversight, electronic communications monitoring, and customer complaint reviewSupport regulatory examinations, information requests, and other departmental initiatives as assigned by Compliance leadershipTravel: Approximately 30–40% travel required for branch inspections.