Compliance Associate

ef Compliance Officer (CCO) in executing the firm's compliance program. You will be a key, high-functioning professional supporting and monitoring the regulatory compliance programs for the Signal Wealth offering. This role requires an understanding of SEC RIA regulations and focuses heavily on licensing, registration, sales and marketing review, and internal control monitoring to ensure adherence to applicable SEC and FINRA rules and firm policies. You will need to be deadline and detail-oriented to ensure we are always "Doing the right thing".

WHAT YOU'LL GET TO DO

• Review and monitor the sales and trading activities of financial advisors, tracking, reporting, and resolving deficiencies related to exception reports.

• Respond to state registration inquiries and coordinate the compliance on-boarding of new financial advisors.

• Assist in the investigation and resolution of customer complaints and inquiries from regulatory bodies (FINRA/SEC/State).

• Provide monthly and quarterly compliance reports and assist with responding to firm inquiries.

• Assist with marketing review, including internal and external advisor and retail client collateral

• Assist with IAR supervision including issue identification and remediation, account billing and suitability review, and other supervision duties.

• Help monitor employee account oversight and maintain internal regulatory records.

• Act as a compliance resource, providing guidance on regulatory requirements and firm policies across all business lines.

• Other compliance-related responsibilities due to continued growth.

WHAT WE'RE LOOKING FOR IN TEAM MEMBERS

• A person with the aptitude for analysis, investigation, and problem-solving, who is "Obsessed with finding a better way" to streamline regulatory processes.

• An energetic professional with outstanding organizational and time management skills who can "act with a sense of urgency" to meet critical deadlines.

• Someone with excellent verbal and written communications skills to provide clear compliance guidance to advisors and respond to regulatory inquiries.

• An individual who embodies integrity and understands that sticking to the highest standard is not optional

WHAT YOU HAVE

• Minimum of two years compliance and/or supervisory experience within an RIA.

• Insurance and securities marketing review experience

• FINRA Series 65/66; Series 7 and annuity and insurance knowledge is a nice to have.

• Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations.

• Deadline and detail-oriented with outstanding organizational and time management skills.

• Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving.

WHAT WE VALUE @ SIGNAL

These are the values that drive how we operate and make decisions.

We're obsessed with finding a better way. Never settle for less.
We act with a sense of urgency. We use our best judgment to act urgently on the right things at the right time.
We raise our level of awareness. Everything starts with awareness. We're curious and alert to what is happening around us.
We find inches everywhere around us. There are thousands of opportunities to make an impact. We take those opportunities and act.
We do the right thing. Sticking to the highest standard of integrity is not optional.
We have strong opinions, loosely held. It's not about WHO is right, it's about WHAT is right.
Simplicity is Genius. Simplicity doesn't just clarify; it makes things better for everyone. It's that simple.
Ideas are valued, execution is worshiped. Great ideas get you to the 50-yard line; outstanding execution gets you into the end zone.

We are the "they". There is no "they". We are empowered to fix things, to be proactive, to find a solution.
? We launch big ideas and then obsess over feedback to learn how we can make it even better.

COMPENSATION & BENEFITS

The US base salary for this full-time position is determined by role, level, and location. Individual pay is determined by work location and additional factors, including interviews and a review of education, experience, knowledge, skills, abilities of the applicant, equity with other team members, and alignment with market data.

In addition to salary, our team members benefits include:

• Medical, vision, and dental coverage

• FSA or HSA-eligible health plans

• 3% 401k company contribution with no vesting period

• Paid parental leave for all parents

• Learning & Development stipend

• Wellness Programs

• Flexible vacation policy

• Dedicated sick days

• 10 company-wide holidays

• $500 for your home office setup

• Flexible, hybrid working environment

• Annual all-company retreat

• Competitive equity package based on on role and level

Our company is committed to building a team that represents people from many different backgrounds and professional, educational, and life experiences. We strongly encourage you to apply, if you have interest in the role. So think of our job postings as just the start of the conversation. Take the leap - you might just be the perfect person for one of our open roles, even if you don't fully match every requirement on the job description.