Hybrid Compliance Specialist — Remote/On-Site

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

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