Senior Compliance Officer — Financial Services

Larson Financial Group; St. Louis, Northern (MO, KY); Hybrid; USD 100,000 - 140,000; Full time

Job summary

Larson Financial Group seeks a Compliance Officer (CO) to lead regulatory compliance for the Larson Network Services and affiliates, ensuring adherence to SEC/FINRA/MSRB rules and firm policies. You will research requirements, review materials, and support audits across the network.

The role reports to the Chief Compliance Officer and requires extensive financial services experience, advanced licenses, and strong analytical skills to identify and mitigate risk in a fast-paced environment.

Qualifications

• Bachelor’s Degree or higher required.

Responsibilities

• Ensure advisors and associated persons comply with federal, state, SEC, FINRA and MSRB rules.
• Review and approve applications and advertising materials.
• Test policies and procedures and support internal and external audits.
• Communicate regulatory requirements to teams and executives.
• Research and interpret evolving compliance requirements.

Skills

Integrity

Confidence

Self-awareness

Sense of humor

Team player

Independent mindset

Accountable

Critical thinker

Risk awareness

Discretion

Adaptable

Communication skills

Conflict resolution

Organization

Attention to detail

Continuous improvement

Education

Bachelor's Degree or Higher

Series 7, Series 66(63/65) and Series 24 or Series 9/10

CRCP®, IACCP®, CFE, CRM or CAMS

Tools

Microsoft Office Suite

Job description

Larson Financial Group seeks a Compliance Officer (CO) to lead regulatory compliance for the Larson Network Services and affiliates, ensuring adherence to SEC/FINRA/MSRB rules and firm policies. You will research requirements, review materials, and support audits across the network.

The role reports to the Chief Compliance Officer and requires extensive financial services experience, advanced licenses, and strong analytical skills to identify and mitigate risk in a fast-paced environment.