Hybrid Compliance Specialist II - Audits & Inquiries

Valmark Financial Group; Akron (OH); Hybrid; USD 65,000 - 90,000; Full time

Job summary

Valmark Financial Group seeks a Compliance Specialist II to manage day-to-day compliance tasks for its independent Member Offices and handle internal and external inquiries. The role provides guidance on compliance areas through branch inspections, policy updates, advertising submissions, email reviews, and exception reporting.

The position involves testing, examinations, and risk reviews, including communication with offices and oversight of RR activities, with a hybrid work arrangement in the

Qualifications

• Associates or Bachelors degree required.
• Series 66 or 63/65 registrations required.
• Series 7 and Series 24 registrations required.
• Life insurance license required.

Responsibilities

• Respond to internal and external inquiries related to the primary lines of business.
• Collaborate with supervisors and Member Offices, providing insights and training as needed.
• Review customer correspondence, email, and social media posts for compliance.
• Review and approve advertising submissions and compliance reports.
• Assist in FINRA Rule 3130 and SEC 206(4)-7 testing and prepare findings.

Skills

Attention to detail

Communication skills

Investigative mindset

Education

Associate or bachelor’s Degree

Series 66 or 63/65 registrations

Series 7 and Series 24 registrations

Life insurance license

Job description

Valmark Financial Group seeks a Compliance Specialist II to manage day-to-day compliance tasks for its independent Member Offices and handle internal and external inquiries. The role provides guidance on compliance areas through branch inspections, policy updates, advertising submissions, email reviews, and exception reporting.

The position involves testing, examinations, and risk reviews, including communication with offices and oversight of RR activities, with a hybrid work arrangement in the