Compliance Officer

Larson Financial Group; St. Louis (MO); On-site; USD 100,000 - 140,000; Full time

Job summary

Larson Financial Group seeks a Compliance Officer (CO) to lead regulatory compliance for the Larson Network Services and affiliates, ensuring adherence to SEC/FINRA/MSRB rules and firm policies. You will research requirements, review materials, and support audits across the network.

The role reports to the Chief Compliance Officer and requires extensive financial services experience, advanced licenses, and strong analytical skills to identify and mitigate risk in a fast-paced environment.

Qualifications

• Bachelor’s Degree or higher required.

Responsibilities

• Ensure advisors and associated persons comply with federal, state, SEC, FINRA and MSRB rules.
• Review and approve applications and advertising materials.
• Test policies and procedures and support internal and external audits.
• Communicate regulatory requirements to teams and executives.
• Research and interpret evolving compliance requirements.

Skills

Integrity

Confidence

Self-awareness

Sense of humor

Team player

Independent mindset

Accountable

Critical thinker

Risk awareness

Discretion

Adaptable

Communication skills

Conflict resolution

Organization

Attention to detail

Continuous improvement

Education

Bachelor's Degree or Higher

Series 7, Series 66(63/65) and Series 24 or Series 9/10

CRCP®, IACCP®, CFE, CRM or CAMS

Tools

Microsoft Office Suite

Job description

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

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