Compliance Officer

Compliance Officer

Full-time

Position Summary

Are you interested in joining a fast-growing financial services company as an integral part of the compliance team? RetireOne is the premier outsourced insurance desk for Registered Investment Advisors in the country.  

We are looking for a talented and knowledgeable individual who can assist the current Chief Compliance Officer in performing all facets of the compliance program of an application-way broker-dealer and a registered investment advisor, with the possibility of becoming the CCO in the future. The ideal candidate has experience in broker-dealer, RIA, and insurance environments, as well as compliance within those disciplines. There are also suitability responsibilities within the compliance program. This is a unique opportunity for a compliance professional to join an innovative firm that, working with investment advisors, offers cutting edge fee-only annuities to their clients.

As part of the development plan for this position, if the individual who is hired does not hold all of the registrations and licensing the job requires, RetireOne will sponsor the individual by paying for study materials and exam fees.

This full-time, remote position reports to the Chief Compliance Officer. The individual may reside anywhere in the continental U.S., must be able to work from home, and must be available during normal business hours (8am-5pm ET). If remote, occasional travel to Louisville will be required.

Titles: Compliance Officer, EF Legacy Securities, LLC (EFLS); Compliance Officer of the new RIA; and AML Compliance Officer of EFLS.

Day-to-day Job Duties:

Running all day-to-day aspects of the compliance program of EFLS and a newly formed registered investment advisor, including:

• Registrations, including background checks, filing U4s/U5s, answering any FINRA/State inquiries;
• Suitability reviews
• Advertising and marketing approvals
• Review of emails
• Review of personal securities transactions and outside business activities
• Branch office reviews
• Advising senior management and sales team on compliance matters
• Amending annually RIA customer disclosure documents, including Form ADV Part 2A
• Assisting with 3120 Reports and Annual Risk Assessments
• Assist with the maintenance of the Written Supervisory Procedures, Policies and Procedures, and Code of Ethics 

Qualifications:

• 5+ years in the financial services industry, 3+ years in compliance
• FINRA registrations Series 14, Series 24 or 26, Series 66 or 65 and 7, or equivalent
• Life/VA insurance licensing
• Comfortable handling confidential information
• Multi-tasking and time management skills
• Ability to work well under limited supervision
• Extremely high attention to detail
• Strong communication skills

Benefits

• Health, dental and vision insurance
• Paid time off
• 401(k) Plan

Work Location

• Remote work anywhere in the continental U.S. Must be able to travel to the broker-dealer home office in Louisville