Compliance Specialist

Summary

Join World Investment Advisors as a Compliance Specialist and support the firm’s Compliance Program. Reporting to the Manager-Compliance Operations, you will develop and manage a Compliance Department activity reporting system, resolve issues involving new accounts, monitor department inboxes, and provide support and guidance to Financial Representatives. You will assist with projects and testing. This role requires a Bachelor’s degree, minimum two years of Compliance experience, and specific Series licenses. The salary range is $75,000-90,000, plus a bonus program. World Investment Advisors offers a comprehensive benefits package including 401k, health insurance, paid time off, and remote work opportunities.

Requirements

• Bachelor’s degree (B.A./B.S.) in a related discipline
• Minimum two (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
• 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
• Mentorship Opportunities
• Ability to serve on different internal steering committees (Charitable Giving, DEI, Social, etc.)
• Professional growth opportunities
• Friendly and collaborative work environment
• Employee perks including fun team building opportunities, yoga/wellness, charitable giving/volunteering