Apply by emailing your résumé to email@example.com
The Compliance Department is responsible for ensuring Larson Financial Holdings, and its subsidiaries (Larson Financial Group, Larson Capital Management, Larson Financial Services, Med Insure Group, and Med Realty, collectively referred to as Larson Financial) and employees, are in compliance with securities industry laws, rules and regulations as dictated by FINRA, SEC, MSRB, various stock exchanges, state jurisdictions and company policies and procedures. The Compliance Officer assists the Chief Compliance Office (CCO) in promoting a culture of compliance as well as the with the implementation firm’s policies and procedures. The Compliance Officer is required to stay abreast of current issues in the regulatory environment and changes in the securities law and to assist the CCO in keeping the Compliance Program relevant and effective.
- Bachelor’s Degree or equivalent work experience.
- 3 years of financial services industry experience required with at least 1 of those years in a Compliance or Branch Supervisory function.
- Series 7, Series 9/10 or Series 24, Series 66 (Series 63/65) and life and health insurance licenses.
- Series 53 license or willingness to obtain in 180 days
- Compliance experience in the hybrid-RIA model
- Demonstrated experience Reviewing Variable Insurance Product Transactions
- Demonstrated experience Reviewing Alternative Investment/Private Equity Transactions
- Demonstrated experience with Regulatory Reporting (SEC, FINRA, MSRB)
- Ability to work independently a well as part of a team
- Excellent problem-solving, decision-making and analytical skills
- Strong attention-to-detail and organizational skills. Ability to work well under pressure and handle multiple priorities while maintaining a positive and productive attitude
- Ability to handle confidential information and matters with discretion
- Experience with technology platforms such as Salesforce, Orion, iRebal, MoneyGuidePro and Office 365
- Experience with Microsoft Excel such as using pivot table to analyze data
- Excellent written and verbal communication skills and strong relationship management skills
- Experience researching, interpreting and advising on a broad range of regulatory issues and on a variety of products and services
- Suitability/Best-interest review of new business, Review Blotters
- Review of Communications including Advertising and Marketing materials, email and incoming/outgoing correspondence
- Branch audits and Client contact as required
- Follow up with Financial Advisors and support teams on review findings
- Assist with the creation and deployment of individual and company-wide training programs
- Represent the Compliance Department on various committees and projects
- Data gathering for response to regulatory inquiries as needed
- Travel up to 25% within USA (branch audits, conferences, corporate events, etc.)
- Other duties as assigned