Senior Regional Compliance Associate

Responsibilities

• Serve as the primary compliance resource for assigned region, supporting advisors and partnering with business leadership on supervisory matters
• Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations
• Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel
• Provide guidance, training, and direction on compliance-related matters to advisors
• Investigate, document, and help resolve client complaints
• Support regulatory examinations, internal audits, and ongoing Compliance initiatives
• Produce regular supervisory reports and close feedback loop with advisors
• Partner with Managing Directors on advisor coaching opportunities tied to compliance standards

Requirements

• 5+ years of financial services experience in a compliance or supervisory role, with demonstrated experience conducting principal-level or OSJ supervisory review
• Active Series 66 and Series 24 in good standing
• Comprehensive knowledge of FINRA and SEC rules and regulations
• High attention to detail, sound judgment, and integrity
• Bachelor's degree or higher

Nice-to-Haves

• Series 7 and Series 9/10 previously held or currently active
• Experience supporting regulatory examinations or internal audits at an RIA or broker-dealer
• Familiarity with compliance technology platforms and surveillance tools
• Background in a regulated financial services environment with OSJ or branch examination experience
• Track record working with distributed or remote advisor teams

Compensation & Benefits

• Competitive comp package that rewards impact
• Full health benefits + 401(k) matching & Roth IRA options
• Unlimited PTO