Senior Compliance Associate | Hybrid

LHH; Sheridan (IN); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Employer-paid health insurance

Discretionary profit-sharing contribution to 401(k)

401(k) with 1:1 match up to 5%

Onsite gym and café

Onsite childcare

Job summary

A leading financial services organization is seeking a Senior Compliance Associate to join their experienced compliance team. This newly created role focuses on advertising and communications compliance, regulatory reviews, and applying FINRA and SEC rules in a hybrid RIA/broker-dealer environment. The ideal candidate will have active FINRA qualifications, a background in the securities industry, and strong analytical skills. Benefits include employer-paid health insurance and a 401(k) match.

Qualifications

• Active FINRA, Series 7, Series 24, Series 65, 66, CFP and/or IACCP required.
• Prior experience in the securities or wealth management industry required.
• Experience reviewing advertising and marketing materials preferred.

Responsibilities

• Review and approve firm and advisor marketing materials.
• Conduct compliance reviews using industry compliance platforms.
• Provide guidance to advisors related to disclosure language.

Skills

Strong analytical skills

Technical aptitude

Sound judgment

Ability to work independently

Education

Active FINRA, Series 7, Series 24, Series 65, 66, CFP and/or IACCP

Experience in securities or wealth management industry

Job description

LHH Recruitment Solutions (pka Parker+Lynch) is partnering with a growing, privately held wealth management and financial services organization to identify a Senior Compliance Associate. This is a newly created role due to growth and will join an established, experienced compliance team supporting a hybrid RIA / broker‑dealer environment while reporting to the Chief Compliance Officer.

This role focuses on advertising and communications compliance, regulatory reviews, and the practical application of FINRA and SEC rules across advisor practices. The ideal candidate brings industry experience, sound judgment, and the ability to independently review, approve, and escalate items as needed.

Responsibilities

• Review and approve firm and advisor marketing and advertising materials in accordance with FINRA, SEC, and state regulations
• Serve as an approval authority for advisor communications, including websites, email campaigns, social media, seminar materials, and firm‑level initiatives
• Conduct compliance reviews using industry compliance and surveillance platforms; generate and analyze reports to support regulatory oversight
• Provide detail‑oriented guidance to advisors related to disclosure language and regulatory requirements
• Support additional principal‑level compliance reviews and approvals as assigned
• Assist with regulatory filings and reporting, including 13F filings and Form N‑PX on required schedules
• Participate in process improvement efforts related to compliance systems, workflows, and documentation
• Collaborate with the Chief Compliance Officer and senior compliance leadership on escalations and complex matters

Qualifications

• Active FINRA, Series 7, Series 24, Series 65, 66, CFP and/or IACCP required
• Prior experience in the securities or wealth management industry required
• Experience reviewing advertising and marketing materials preferred
• Strong analytical skills, technical aptitude, and sound judgment
• Ability to work independently while knowing when escalation is appropriate
• Employer‑paid health insurance (medical, dental, vision, life, disability)
• Discretionary profit‑sharing contribution to 401(k)
• Discretionary year‑end bonus
• 401(k) with 1:1 match up to 5%
• Onsite gym, café, and onsite childcare

If you are interested in this job or other Accounting and Finance career opportunities from LHH Recruitment Solutions (pka Parker + Lynch), please email Kyle Cheverko at [e-mail], or visit our website at www.lhh.com

Equal Opportunity Employer/Veterans/Disabled To read our Candidate Privacy Information Statement, which explains how we will use your information, please visit www.lhh.com. The Company will consider qualified applicants with arrest and conviction records.