Compliance Specialist (Remote position)

Lensa; Santa Barbara (CA); Remote; USD 75,000 - 90,000; Full time

Job summary

Lensa is seeking a Compliance Specialist to support the Compliance Program at World Insurance Associates LLC. The ideal candidate will have a Bachelor's degree and at least two years of experience in compliance or regulatory roles. Responsibilities include reporting, monitoring compliance inquiries, and assisting in project completions. The role offers a competitive salary and comprehensive benefits in a collaborative work environment.

Benefits

401(k) with Employer Match

Health Insurance (with HSA option)

Dental Insurance

Vision Insurance

Life Insurance

Flexible Paid Time Off Policy

Flexible Spending Account (FSA)

Healthy Work/Life Balance

Maternity/Paternity Leave Policy

Remote Work Opportunity

Qualifications

• Minimum two years of compliance and/or regulatory experience.
• Ability to obtain necessary licenses within 120 days of hire.
• Strong working knowledge of RIA and broker-dealer business.

Responsibilities

• Develop and manage compliance activity reporting.
• Monitor department email and ticketing systems to ensure timely responses.
• Provide guidance on compliance processes and policies.

Skills

Communication

Regulatory knowledge

Time management

Teamwork

Education

Bachelor’s degree in a related discipline

Job description

Lensa is the leading career site for job seekers at every stage of their career. Our client, World Insurance Associates LLC, is seeking professionals. Apply via Lensa today!

Position Objective, Typical Duties and Responsibilities

We’re currently seeking a Compliance Specialist to support the firm’s Compliance Program. You will report to Manager-Compliance Operations

• Develop and manage a Compliance Department activity reporting system.
• Represent the compliance department in resolving issues involving new accounts set up with Operations and Accounting departments.
• Monitor general department email inboxes and/or department ticketing system reports to assure timely response or escalation if necessary to inquiries and information received.
• Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
• Assist management and other compliance personnel with the completion of various projects and testing.
• Other duties as assigned.
  
  

Position Requirements

• Bachelor’s degree (B.A./B.S.) in a related discipline required. Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments.,
• Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire).
• Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate.
• A deep understanding of industry rules governing supervision, suitability, and registrations.
• Excellent technology and communication skills
• Ability to work independently to manage time and prioritize tasks efficiently.
• Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.
• The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.
  
  

Preference Given To Candidates With The Following Qualifications

• Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02.
• Already hold a Life, Health, & Variable Annuity license.
  
  

Compensation

The salary for this position generally ranges between $75,000-90,000. This range is an estimate, based on candidate qualifications and operational needs. The firm also has a bonus program.

Perks & Benefits

• 401(k) with Employer Match
• Health Insurance (with HSA option)
• Dental Insurance
  
  

Perks & Benefits (continued)

• Vision Insurance
• Life Insurance
• Flexible Paid Time Off Policy
• Flexible Spending Account (FSA)
• Healthy Work/Life Balance
• Maternity/Paternity Leave Policy
• Remote Work Opportunity
  
  

Stimulating Environment

At World Investment Advisors, we strive to provide a challenging, stimulating environment for the best and brightest in the industry. We believe our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where professional growth is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved. We promote a friendly and collaborative work environment. We are motivated by team camaraderie and are obsessed with doing the right thing for our plan sponsor clients and their plan participants.

Team-Oriented

Professionals typically work together in teams with multiple people from different departments to meet our clients’ needs. Our junior staff works with their team members to develop the skills and knowledge to succeed and assume more senior level positions as they progress at our firm. We welcome team members from different backgrounds with different perspectives to help us innovate and make a difference for our customers and our communities.

Why World?

• Great company culture with an awesome team-oriented atmosphere!
• Mentorship Opportunities
• Ability to serve on different internal steering committees (Charitable Giving, DEI, Social, etc.)
• Professional growth opportunities
• Friendly and collaborative work environment
• Employee perks including fun team building opportunities, yoga/wellness, charitable giving/volunteering
  
  

World Investment Advisors is an equal opportunity employer. We believe the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging. World is committed to equality and deeply believes in diversity in sexual orientation, gender, race, religion, ethnicity and other qualities that makes us all different.

To Executive Search Firms And Staffing Agencies

World does not accept unsolicited resumes from any agencies that have not signed a mutual service agreement. All unsolicited resumes will be considered World’s property, and World will not be obligated to pay a referral fee. This includes resumes submitted directly to Hiring Managers without contacting World’s Human Resources Talent Department.

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Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Sales

• Industries

  IT Services and IT Consulting

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