Compliance Officer

This is a fully remote position, open to applicants in District of Columbia.

📋 Description

• Perform compliance reviews of regulated entities to assess and verify adherence to relevant rules, regulations, policies, and procedures; prepare detailed reports of findings.

• Evaluate and authorize advertising, marketing communications, and client-facing materials to ensure compliance with regulatory standards and internal guidelines.

• Aid in necessary Broker-Dealer, Investment Adviser, and State regulatory filings by accurately preparing, reviewing, and submitting documentation in a timely manner.

• Create and present Firm Element, Annual Compliance Meeting content, and various training materials for registered representatives and Investment Adviser Representatives.

• Revise and keep compliance procedures updated, ensuring that manuals, desktop procedures, and associated documentation accurately reflect current laws, regulations, and regulatory expectations.

• Observe regulatory changes, industry developments, and emerging risks; assess their impact on compliance policies, procedures, and controls, and suggest improvements as needed.

• Assist in identifying, documenting, and tracking issues and corrective actions; coordinate with stakeholders to ensure timely remediation and resolution.

• Compile summaries, reports, and updates for leadership, encompassing compliance review findings, testing results, and risk assessments.

• Work collaboratively with Compliance colleagues and business partners to ensure the consistent application of compliance requirements and provide necessary support during peak workloads or absences.

• Carry out additional assigned duties.

⛳️ Requirements

• Bachelor’s degree is required (preferred fields include Business, Finance, Accounting, Economics, Public Policy, or related disciplines).

• A minimum of 2 years of experience in Broker-Dealer, Investment Adviser, or mutual fund compliance, as well as financial services compliance, supervision, audit, or risk management.

• Direct experience with federal and state securities regulations and SRO requirements.

• Strong grasp of compliance concepts, regulatory expectations, and operational controls.

• Ability to generate clear, well-structured documentation and consistently adhere to defined procedures with precision and accuracy.

• Excellent organizational and time-management abilities with the capability to prioritize multiple tasks effectively.

• Proficient in Microsoft Office and comfortable navigating systems, workflow tools, and data repositories.

• Securities licenses: FINRA Series 7 and Series 24, along with Series 63/65/66 depending on the product set.

• Comprehensive knowledge of securities laws, SRO rules, and compliance obligations.

• Ability to interpret and apply regulations, conduct reviews/testing, and produce clear documentation.

• Strong communication skills with a keen attention to detail and sound decision-making capabilities.

• Ability to collaborate across teams and interact professionally with both internal and external stakeholders.

• Proficiency in compliance systems and organizational skills to manage multiple deadlines while adapting to new regulatory topics.

🏝️ Benefits

• Competitive Total Rewards package, which includes base pay, incentive programs, benefits, and a 401(k) plan with matching contributions.

• Flexible and hybrid work arrangements to promote work-life balance.

• Tuition reimbursement to facilitate ongoing education.

• Opportunities for professional and career development, including courses and certifications.

• Comprehensive wellness programs that encourage physical, mental, and emotional health.

• Volunteer initiatives designed to foster community engagement.