Compliance Specialist

Summary

Join World Investment Advisors as a Compliance Specialist and contribute to the firm's growing Compliance Program. You will develop and manage reporting systems, lead the implementation of a ticketing system, and resolve issues with other departments. Responsibilities include providing support and guidance to financial representatives, assisting with projects and testing, and collaborating with team members. A Bachelor's degree and at least five years of compliance experience in both RIA and broker-dealer segments are required, along with specific licenses. The firm offers a competitive salary, bonus program, and a comprehensive benefits package.

Requirements

• Bachelor’s degree (B.A./B.S.) in a related discipline required
• Minimum five (2) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments
• Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire)
• Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate
• A deep understanding of industry rules governing supervision, suitability, and registrations
• Excellent technology and communication skills
• Ability to work independently to manage time and prioritize tasks efficiently
• Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance
• The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes

Responsibilities

• Develop and manage a Compliance Department activity reporting system
• Lead the design and implementation of a Compliance Department “ticketing” system to manage field an home office requests for support
• Represent the compliance department in resolving issues involving new accounts set up with Operations and Accounting departments
• Monitor general department email inboxes and/or department ticketing system reports to assure timely response or escalation if necessary to inquiries and information received
• Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries
• Assist management and other compliance personnel with the completion of various projects and testing
• Other duties as assigned

Preferred Qualifications

• Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02
• Already hold a Life, Health, & Variable Annuity license

Benefits

• 401(k) with Employer Match
• Health Insurance (with HSA option)
• Dental Insurance
• Vision Insurance
• Life Insurance
• Flexible Paid Time Off Policy
• Flexible Spending Account (FSA)
• Healthy Work/Life Balance
• Maternity/Paternity Leave Policy
• Remote Work Opportunity
• Bonus program