Compliance Officer

Larson Network Services, LLC; St. Louis (MO); On-site; USD 95,000 - 150,000; Full time

Benefits offered by this job

Profit Sharing Bonus Program

401(k) with Employer Match (up to 4%)

Medical, Dental, and Vision Insurance

Long-term Disability, Life Insurance,

EAP

Voluntary Short-term Disability and 0

PTO 112 hours after 90 days

Training, Development, and Educational

Team Activities

Job summary

Larson Network Services, LLC in St. Louis, Missouri seeks a Compliance Officer to oversee regulatory compliance across the Firm and its affiliates. The CO ensures adherence to SEC/FINRA/MSRB rules, reviews applications and ads, and supports audits.

The role requires extensive experience in financial services, relevant licenses, and a proactive, detail-oriented mindset to manage risk and regulatory obligations.

Qualifications

• Bachelor’s Degree or higher required.
• Series 7, Series 66(63/65) and Series 24 or Series 9/10 are required.
• 5+ years’ experience in financial services.

Responsibilities

• Ensure compliance with federal, state, SEC, FINRA and MSRB rules and Firm policies.
• Review and approve applications and advertising materials.
• Test policies and procedures and support internal and external audits.

Skills

Regulatory knowledge

Attention to detail

Communication skills

Problem solving

Education

Bachelor’s degree or higher

Tools

Microsoft Office

Job description

Compliance Officer

Larson Network Services, LLC St. Louis, Missouri, United States

About this position

Description:

The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”). LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm’s policies and procedures. In addition to other duties as assigned, COs help 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. COs may be named as Designated Supervisory Principal and or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program.

Reports to: Chief Compliance Officer

Required Qualifications and Experience:

• Bachelor’s Degree or Higher
• Series 7, Series 66(63/65) and Series 24 or Series 9/10
• 5+ years’ experience in financial services

Desired Qualifications and Competencies:

• Series 53, Series 27 or Series 28 and life and health insurance license
• Professional certification such as CRCP®, IACCP®, CFE, CRM or CAMS
• Experience with private equity, variable insurance or other complex products
• Experience developing and implementing compliance programs
• High levels of integrity, confidence, self-awareness and a sense of humor
• Team player with the ability to work with minimal supervision
• Accountable and willing to hold others accountable
• Critical thinker with strong analytical and investigative skills
• Able to easily grasp and comprehend risks
• Able to handle sensitive and confidential information with prudence and care
• Adaptable to working in a fast-paced environment
• Strong communication and conflict resolution skills
• Strong organization skills and attention to detail?
• Continuous improvement mindset
• Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, etc.)
• Other duties as assigned

Why Join Larson Financial Group?

We offer a competitive benefits package and an engaging work culture that supports personal and professional growth:

• 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