Senior Compliance Officer — Financial Services, Growth & Perks

Larson Network Services, LLC; St. Louis (MO); On-site; USD 95,000 - 150,000; Full time

Benefits offered by this job

Profit Sharing Bonus Program

401(k) with Employer Match (up to 4%)

Medical, Dental, and Vision Insurance

Long-term Disability, Life Insurance,

EAP

Voluntary Short-term Disability and 0

PTO 112 hours after 90 days

Training, Development, and Educational

Team Activities

Job summary

Larson Network Services, LLC in St. Louis, Missouri seeks a Compliance Officer to oversee regulatory compliance across the Firm and its affiliates. The CO ensures adherence to SEC/FINRA/MSRB rules, reviews applications and ads, and supports audits.

The role requires extensive experience in financial services, relevant licenses, and a proactive, detail-oriented mindset to manage risk and regulatory obligations.

Qualifications

• Bachelor’s Degree or higher required.
• Series 7, Series 66(63/65) and Series 24 or Series 9/10 are required.
• 5+ years’ experience in financial services.

Responsibilities

• Ensure compliance with federal, state, SEC, FINRA and MSRB rules and Firm policies.
• Review and approve applications and advertising materials.
• Test policies and procedures and support internal and external audits.

Skills

Regulatory knowledge

Attention to detail

Communication skills

Problem solving

Education

Bachelor’s degree or higher

Tools

Microsoft Office

Job description

Larson Network Services, LLC in St. Louis, Missouri seeks a Compliance Officer to oversee regulatory compliance across the Firm and its affiliates. The CO ensures adherence to SEC/FINRA/MSRB rules, reviews applications and ads, and supports audits.

The role requires extensive experience in financial services, relevant licenses, and a proactive, detail-oriented mindset to manage risk and regulatory obligations.