Regional Compliance Officer – Key Investment Services

This is a fully remote position, open to applicants in Oregon, +1 more state.

📋 Description

• Perform on-site inspections of branches to assess supervisory systems, signage, record-keeping, and compliance with company policies and regulatory standards.

• Deliver compliance training to branch personnel and business associates to reinforce adherence to policies and regulatory responsibilities.

• Prepare, evaluate, and revise compliance policies and procedures to align with regulatory updates and best practices.

• Review and authorize advertising and marketing materials in accordance with FINRA Rule 2210 and the company's guidelines.

• Provide support and compliance counsel to business partners regarding daily operations and emerging risks.

• Aid in the investigation of potential fraud, financial exploitation, and elder abuse claims, ensuring prompt escalation and resolution.

• Engage in special projects, focused reviews, and various initiatives to enhance the firm's compliance program.

• Work in conjunction with Supervision, Sales, and other control functions to foster a robust compliance culture.

⛳️ Requirements

• Bachelor's Degree or equivalent experience.

• FINRA Series 7 and 24 or willingness to obtain.

• At least 5 years of experience in compliance, risk management, auditing, or related fields (mandatory).

• Proven ability to operate both independently and collaboratively within a regulatory environment (mandatory).

• In-depth understanding of securities industry concepts, compliance practices, supervisory frameworks, relevant federal and state regulatory requirements, investment products, and financial markets.

🏝️ Benefits

• Eligibility for incentive compensation which may include production, commission, and/or discretionary incentives.