Series 7, Series 66 (or Series 63/65), and Series 24 or Series 9/10 licenses.
At least 5 years of experience in financial services.
Series 53, Series 27 or Series 28, and a life and health insurance license are desired.
Professional certification such as CRCP, IACCP, CFE, CRM, or CAMS is desired.
Experience with private equity, variable insurance, or other complex products is desired.
Experience developing and implementing compliance programs is desired.
Proficiency in Microsoft Office Suite, including Word, Excel, and PowerPoint.
Strong analytical and investigative skills, risk comprehension, communication, conflict resolution, organization, and attention to detail.
Ability to handle sensitive and confidential information prudently and carefully.
Ability to work with minimal supervision and adapt to a fast-paced environment.
Responsibilities
Help ensure that advisors and other associated persons comply with federal, state, Securities and Exchange Commission, Financial Industry Regulatory Authority, and Municipal Securities Rulemaking Board rules and regulations, as well as the Firm's policies and procedures.
Research and communicate regulatory compliance requirements.
Review and approve applications and advertising materials.
Test policies and procedures.
Support internal and external audits.
Serve as a designated supervisory principal or subject matter expert for certain branches or areas of the Firm's Compliance Program when assigned.
Perform other duties as assigned.
Desired Qualifications
High integrity, confidence, self-awareness, and accountability.
Experience developing and implementing compliance programs.
Continuous improvement mindset.
Description
The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”). LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm’s policies and procedures. In addition to other duties as assigned, COs help maintain regulatory compliance by researching and communicating requirements, reviewing and approving applications and advertising materials, testing policies and procedures and supporting internal and external audits. COs may be named as Designated Supervisory Principal and or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program.
Reports to: Chief Compliance Officer
Required Qualifications and Experience:
Bachelor’s Degree or Higher
Series 7, Series 66(63/65) and Series 24 or Series 9/10
5+ years’ experience in financial services
Requirements
Desired Qualifications and Competencies:
Series 53, Series 27 or Series 28 and life and health insurance license
Professional certification such as CRCP®, IACCP®, CFE, CRM or CAMS
Experience with private equity, variable insurance or other complex products
Experience developing and implementing compliance programs
High levels of integrity, confidence, self-awareness and a sense of humor
Team player with the ability to work with minimal supervision
Accountable and willing to hold others accountable
Critical thinker with strong analytical and investigative skills
Able to easily grasp and comprehend risks
Able to handle sensitive and confidential information with prudence and care
Adaptable to working in a fast-paced environment
Strong communication and conflict resolution skills
Strong organization skills and attention to detail?
Continuous improvement mindset
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, etc.)
Other duties as assigned
Why Join Larson Financial Group? We offer a competitive benefits package and an engaging work culture that supports personal and professional growth:
Profit Sharing Bonus Program
401(k) with Employer Match (up to 4%)
Comprehensive Medical, Dental, and Vision Insurance
Company-paid Long-term Disability, Life Insurance, and EAP
Voluntary Short-term Disability and Supplemental Insurance