Regional Compliance Officer – Key Investment Services

Role Overview

• Conduct onsite branch inspections to evaluate supervisory systems, branch signage, records, and adherence to firm policies and regulatory requirements.
• Provide compliance training to branch staff and business partners to reinforce policies and regulatory obligations.
• Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices.
• Review and approve advertising and marketing materials in accordance with FINRA Rule 2210 and firm policies and procedures.
• Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks.
• Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring timely escalation and resolution.
• Participate in special projects, targeted reviews, and other initiatives to strengthen the firm’s compliance program.
• Collaborate with Supervision, Sales, and other control functions to maintain a strong compliance culture.

Requirements

• Bachelor's Degree or equivalent experience
• FINRA Series 7 and 24 or willing to obtain
• Minimum 5 years of experience in compliance, risk management, auditing, or related fields (required)
• Demonstrated ability to work independently and collaboratively in a regulatory environment (required)
• Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets.
• Documenting findings and communicating risks through clear, concise reports.
• Applying sound judgment in evaluating complex compliance scenarios.
• Proactively identifying risk trends.
• Clearly conveying compliance requirements and findings to diverse audiences.
• Managing difficult conversations maturely.
• Building strong relationships across departments to support compliance initiatives.
• Identifying program improvement opportunities and designing effective solutions to address compliance challenges.
• Leading compliance-related projects and mentoring junior analysts.
• Staying current with regulatory changes and industry best practices.

Benefits

• Incentive compensation which may include production, commission, and/or discretionary incentives