WHAT WE CAN OFFER YOU:

• Estimated Salary: Minimum: $112,000 - $151,000, plus annual bonus opportunity.
• 401(k) plan with a 2% company contribution and 6% company match.
• Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.
• Applicants for this position must not now, nor at any point in the future, require sponsorship for employment.

WHAT YOU'LL DO:

• Develop, oversee, and manage producer compliance program, including but not limited to: continuous monitoring / surveillance oversight, utilizing data analytics and technologies, and identifying, assessing and managing risk.
• Lead a team of compliance professionals to effectively perform compliance and producer oversight functions.
• Collaborate with internal business partners to perform effective oversight of producer activities. Identify potential issues, develop resolutions, and ensure timely implementation of processes, procedures and systems.
• Oversee, direct, and manages the development of compliance policies and procedures, including the Agent and Broker Compliance Manuals, broker-dealer and investment advisory compliance manuals, and broker-dealer written supervisory procedures.
• Oversee, direct, and manage broker-dealer and investment advisor compliance functions, including but not limited to branch examinations, home office examinations, compliance surveillance, customer complaints, regulatory examinations and inquiries, advisory compliance, and regulatory change management.
• Champion a culture of risk awareness, continuous improvement, and compliance throughout the organization.

WHAT YOU’LL BRING:

• 10+ years of experience within the Financial Services industry, including prior broker-dealer, investment advisor, and/or insurance compliance.
• FINRA Series 7, Series 24, and either Series 66 or 63+65
• Thorough knowledge of and experience in interpreting federal, state and industry laws, regulations; ability to identify, research, analyze interpret and apply in compliance related issues and activities.
• Strong collaboration skills; ability to motivate and influence constituents at all levels across the organization to comply with regulatory standards and compliance requirements.
• Strong leadership and team-building skills, empowering team members and driving cross-functional alignment.
• Excellent communication and interpersonal skills to engage effectively with stakeholders.
• Ability to analyze, interpret and utilize significant data to make sound business decisions; utilizes excellent critical thinking, problem solving, risk assessment skills.
• Commitment to excellence and adherence to regulatory standards in all endeavors.
• You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.
• Able to work remotely with access to a high-speed internet connection and located in the United States.

PREFERRED:

• 5+ years of Compliance experience in a leadership role with proven ability to engage with management and business partners.
• Prior experience in communicating with state and federal regulatory bodies and/or coordinating regulatory inquiries and examinations.

We value unique experience, skills, and passion for innovation. If your experience aligns with the listed requirements, please apply!

If you have questions about your application or the hiring process, email our Talent Acquisition area at . Please allow at least one week from time of applying if you are checking on the status.

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