Compliance Specialist

Triad Partners; Lawrence (KS); Hybrid; USD 75,000 - 110,000; 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 is seeking a Compliance Specialist to support the Director of Compliance in administering the Firm's program. You will execute and monitor activities to help meet SEC and internal policies, assist with testing, filings, training, and documentation, and serve as a resource to member firms and partners.

The role involves routine reviews, surveillance, regulatory filings (Form ADV, U4/U5, 13F, 13H), and aiding regulatory exams.

Qualifications

• Bachelor's degree preferred in a related field.
• 2–5 years of compliance, operations, or regulatory experience in financial services (RIA, broker-dealer, or related).
• Familiarity with SEC and state investment adviser regulations.
• Experience with compliance systems (Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh, Hadrius, Greenboard).
• 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 of advertising, email/communications, trade activity, and client files.
• Assist with preparation and filing of regulatory forms (Form ADV, U4/U5, 13F, 13H).
• Support preparation for regulatory exams, field audits, and mock audits by gathering documents and coordinating responses.
• Maintain compliance records per SEC recordkeeping requirements (ads, correspondence, training logs, testing results).
• Monitor compliance software systems (Red Oak, Orion, custodian platforms, CRD/FINRA Gateway, Edgar, Smarsh) for issues and escalation.
• Help maintain compliance policies and procedures, including version control and documentation of updates.
• Coordinate and track compliance training; assist in developing training materials and attendance records.
• Research regulatory changes and summarize findings for the Director and Chief Compliance Officer.
• Provide timely responses and support to member firms on compliance questions.
• Participate in projects and initiatives as assigned by the Director of Compliance.

Skills

Detail-oriented

Regulatory experience

SEC familiarity

Compliance systems

Microsoft Office

Multi-tasking

Team oriented

Education

Bachelor's degree preferred

Tools

Red Oak

Orion

CRD/FINRA Gateway

Edgar

Smarsh

Hadrius

Greenboard

Job description

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 elevate 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

• Bachelor's degree preferred.
• 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.

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

Motto

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.

We call this unique intersection of professional and personal success DBDL: Doing Business and Doing Life. It's more than a motto; it's the foundation of everything we do.

At Triad, every team member is a leader. Regardless of experience or job title, you'll have the opportunity to think strategically, innovate boldly, and make a measurable impact. You won't just follow established processes—you'll help create them. By driving new solutions, optimizing systems, and contributing to transformative initiatives, you'll play a pivotal role in shaping the future of our industry.

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