Compliance Officer

Larson Financial; St. Louis (MO); On-site; USD 90,000 - 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,E

Voluntary Short-term Disability and…

112 hours PTO after 90 days

Training, Development, and Educational

Company Events & Team Activities

Job summary

Larson Financial is seeking a Compliance Officer to ensure advisors and associates adhere to federal, state, SEC, FINRA and MSRB rules and the firm’s policies. The CO will review applications, materials, and support audits while potentially serving as a Designated Supervisory Principal for select branches.

Reports to the Chief Compliance Officer and collaborates with various departments to maintain robust compliance programs and risk controls.

Qualifications

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

Responsibilities

• Ensure compliance with federal, state, SEC, FINRA and MSRB rules and firm policies.
• Review and approve applications and advertising materials.
• Support internal and external audits and training; may serve as DSP or SME for certain areas.

Skills

Series 7

Series 66/63/65 & 24 or Series 9/10

5+ years in financial services

Communication skills

Analytical thinking

Education

Bachelor’s Degree or higher

Job description

Job Type

Full-time

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

Requirements

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

Benefits

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