Role OverviewThe Compliance Officer is a key role within Larson Network Services, ensuring compliance with federal, state, SEC, FINRA, and MSRB rules and regulations, and the Firm's policies and procedures.
What You Will Do
Maintain regulatory compliance by researching and communicating requirements, reviewing and approving applications and advertising materials, testing policies and procedures, and supporting internal and external audits.
Why It Might Be a Fit
The ideal candidate will have high levels of integrity, confidence, self-awareness, and a sense of humor, with strong analytical and investigative skills, and the ability to handle sensitive and confidential information with prudence and care.
Requirements
- Bachelor’s Degree or Higher
- Series 7, Series 66(63/65) and Series 24 or Series 9/10
- 5+ years’ experience in financial services
Benefits
- Profit Sharing Bonus Program
- 401(k) with Employer Match (up to 4%)
- Comprehensive Medical, Dental, and Vision Insurance
- Company-paid Long-term Disability, Life Insurance, and EAP
- Voluntary Short-term Disability and Supplemental Insurance
- Generous PTO (112 hours after 90 days) + 12 Paid Holidays
- Training, Development, and Educational Opportunities
- Company Events, Recognition Awards, and Team Activities
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