Compliance Officer

An established financial services organization is seeking a Compliance Officer to support regulatory oversight across its investment advisory and broker-dealer businesses. This position will focus on maintaining and improving compliance programs, conducting supervisory reviews, and providing regulatory guidance to investment professionals. The ideal candidate will bring experience in RIA or broker-dealer compliance, a strong understanding of investment advisory regulations, and the ability to work independently in a collaborative environment. **Key Responsibilities** * Support the ongoing administration and enhancement of the firm's Registered Investment Adviser (RIA) compliance program. * Assist with regulatory filings, including the preparation and annual updates of Form ADV Parts 1, 2A, and 2B. * Participate in annual compliance assessments under Rule 206(4)-7 of the Investment Advisers Act. * Conduct compliance inspections of branch offices and corporate locations, documenting findings and recommending improvements. * Review supervisory activities, identify potential compliance concerns, and assist with corrective actions. * Provide regulatory guidance and compliance support to Investment Adviser Representatives (IARs) and advisory business teams. * Assist with regulatory examinations, information requests, and internal compliance reviews. * Review and update Written Supervisory Procedures (WSPs), policies, and internal controls. * Support oversight of advertising, marketing materials, electronic communications, and customer complaints. * Assist with annual executive compliance certifications and employee regulatory training. * Collaborate with compliance leadership on special projects and ongoing regulatory initiatives. **Required Qualifications** * Bachelor's degree, preferably in Business, Finance, or a related field, or equivalent relevant experience. * 3–5 years of compliance experience within a broker-dealer, Registered Investment Adviser, or related financial services environment. * FINRA Series 7 required, unless supported by substantial investment adviser experience. * Experience supporting investment advisory programs and Investment Adviser Representatives. * Knowledge of SEC and FINRA regulations, supervisory requirements, and compliance monitoring practices. * Strong written and verbal communication skills with the ability to explain complex regulatory matters clearly. * Proficiency in Microsoft Office, including Excel, Word, PowerPoint, and Outlook. * Strong organizational skills, attention to detail, and ability to manage multiple responsibilities. **Preferred Qualifications** * FINRA Series 24, 65, and/or 66 registrations. * Experience with RIA compliance reviews, Form ADV filings, and branch examinations. * Familiarity with surveillance, supervisory testing, and regulatory examination processes. * Working knowledge of SQL or compliance reporting tools.