Compliance Specialist: Regulatory & Surveillance Expert

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

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.