Compliance Specialist

Triad Partners, LLC; Lawrence (KS); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Competitive compensation

Health, dental and vision insurance

Generous PTO

401k Plan

Team events

Job summary

Triad Wealth Partners in Lawrence, KS seeks a Compliance Specialist to support the Director of Compliance in administering the Firm’s compliance program. This hands-on role focuses on testing, surveillance, regulatory filings, training coordination, and documentation to help ensure the Firm meets regulatory requirements and internal policies.

You’ll assist with testing, filings, training coordination, and maintaining records while serving as a resource to Triad Wealth’s member firms and business

Qualifications

• 2–5 years of compliance, operations, or regulatory experience in the financial services industry (RIA, broker‑dealer, or related).
• Familiarity with SEC and state investment adviser regulations.
• Experience with compliance systems (e.g., Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh) preferred.
• Strong organizational skills with meticulous attention to detail and ability to handle confidential information.
• Excellent analytical, problem solving, and communication skills, both written and verbal.

Responsibilities

• Conduct routine compliance reviews and surveillance, including advertising, email/communications, trade activity, and client file reviews.
• Assist with the preparation and filing of regulatory forms, including Form ADV, U4s, U5s, 13F, and 13H.
• Support the Director in preparing for regulatory exams, field audits, and mock audits by gathering documents and coordinating responses.
• Maintain compliance records in accordance with SEC recordkeeping requirements, including advertising, correspondence, training logs, and testing results.
• Monitor compliance software systems (e.g., Red Oak, CRM, Orion, custodian platforms, Smarsh) to identify issues and escalation as appropriate.
• Help maintain compliance policies and procedures, including version control and documentation of updates.
• Track and coordinate compliance training requirements, assist in developing training materials, and maintain attendance/acknowledgement records.
• Research regulatory changes and industry updates, summarizing findings for the Director and Chief Compliance Officer.
• Provide timely responses and support to member firms on compliance-related questions.
• Participate in compliance-related projects and initiatives as assigned by the Director of Compliance.

Skills

Compliance experience

Regulatory knowledge

Attention to detail

Communication skills

Multitasking

Tools

Red Oak

Orion

CRD/FINRA Gateway

Edgar

Job description

Is working with people you want to do life with important to you? It is to us, too.

At Triad, our motto is simple: #DBDL – Do Business, Do Life. While delivering a boutique-like experience for our clients is a top priority, we believe the work we do should also inspire and empower our team members. Imagine working alongside a team that builds financial planning solutions capable of transforming the lives of thousands. If that excites you, we’d love to connect.

Who Are We?

Triad was founded on a bold idea: business growth should never come at the expense of personal freedom. We’re leading a revolution in our industry—empowering financial advisors to achieve record-breaking business growth while enjoying levels of personal freedom they once thought impossible.

What Does DBDL Look Like for You?

Do Business : Your work at Triad will be more than checking boxes—it’s about making a meaningful difference. As part of our team, you’ll collaborate on projects that directly contribute to the success of our clients and our company.

Do Life : We understand that the best ideas happen when people feel refreshed and energized. That’s why we cultivate an environment where you can pause, recharge, and pursue what brings you joy outside of work. Whether it’s spending time with family, traveling, or exploring a passion project, we encourage you to bring balance to your life.

Let’s Build Something Extraordinary Together.

If you’re ready to work in a place where innovation meets personal fulfillment, let’s talk. At Triad, you’ll find a team that not only shares your professional drive but also values the moments that make life worth living.

About the role

As a Compliance Specialist at Triad Wealth Partners, you will provide essential support to the Director of Compliance in administering the Firm’s compliance program. This role is focused on the execution and monitoring of compliance activities to help ensure the Firm meets regulatory requirements, industry best practices, and internal policies. The Compliance Specialist will assist with testing, surveillance, regulatory filings, training coordination, and compliance documentation, while serving as a resource to Triad Wealth’s member firms and business partners. This is a hands‑on role for a detail-oriented professional interested in developing expertise in compliance within a growing SEC‑registered investment adviser.

What you’ll do

• Conduct routine compliance reviews and surveillance, including advertising, email/communications, trade activity, and client file reviews.
• Assist with the preparation and filing of regulatory forms, including Form ADV, U4s, U5s, 13F, and 13H.
• Support the Director in preparing for regulatory exams, field audits, and mock audits by gathering documents and coordinating responses.
• Maintain compliance records in accordance with SEC recordkeeping requirements, including advertising, correspondence, training logs, and testing results.
• Monitor compliance software systems (e.g., Red Oak, CRM, Orion, custodian platforms, Smarsh) to identify issues and escalation as appropriate.
• Help maintain compliance policies and procedures, including version control and documentation of updates.
• Track and coordinate compliance training requirements, assist in developing training materials, and maintain attendance/acknowledgement records.
• Research regulatory changes and industry updates, summarizing findings for the Director and Chief Compliance Officer.
• Provide timely responses and support to member firms on compliance-related questions.
• Participate in compliance-related projects and initiatives as assigned by the Director of Compliance.

Qualifications

• 2–5 years of compliance, operations, or regulatory experience in the financial services industry (RIA, broker‑dealer, or related).
• Familiarity with SEC and state investment adviser regulations.
• Experience with compliance systems (e.g., Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh, Hadrius, Greenboard) preferred.
• Strong organizational skills with meticulous attention to detail and ability to handle confidential information.
• Excellent analytical, problem solving, and communication skills, both written and verbal.
• Proficiency with Microsoft Office Suite and ability to learn adviser technology platforms.
• Ability to manage multiple tasks and deadlines in a fast‑paced environment.
• Team-oriented, with the ability to collaborate across different levels of the organization.

What Are Our Benefits?

• Competitive compensation
• Health, dental and vision insurance
• Generous PTO
• 401k Plan
• Team events

Additional Information

This role reports to the Director of Compliance and offers in‑office, hybrid (at least two office days in a typical workweek), and remote work arrangements (if residing more than 45 miles from Lawrence, Kansas). You’ll work with your leader to determine which option best aligns for you.

This role will become available on or after January 1, 2027.

As an associated person of Triad Wealth, this position is subject to SEC restrictions on personal political contributions, personal securities transactions, and gifts & entertainment.