Senior Compliance Strategist – Financial Services

Sammons Financial Group Inc.; West Des Moines (IA); On-site; USD 62,000 - 128,000; Full time

Benefits offered by this job

Comprehensive health coverage

ESOP and 401(k) enrollment

Friday afternoons off and generous PTO

Tuition reimbursement and professional

Job summary

Sammons Financial Group Inc. is seeking an experienced compliance professional to lead testing and monitoring across investment adviser, broker-dealer, and registered investment company programs.

You will independently plan, execute, and document risk-based reviews, evaluate controls, and drive remediation with business and compliance partners. The role requires strong knowledge of SEC/FINRA requirements, 7–10 years in financial services compliance, and effective communication with diverse

Qualifications

• Bachelor's degree or equivalent experience in business, finance, risk management or legal studies.
• 7–10 years of experience in compliance, risk management, regulatory affairs, internal audit, or related financial services role.
• Experience supporting investment advisers, broker-dealers, or registered investment companies across multiple regulatory frameworks.
• Strong knowledge of SEC and FINRA requirements for investment advisers, broker-dealers, and registered funds.
• Proven experience conducting testing, monitoring, risk assessments, and control reviews.
• Experience with 38a-1 compliance programs and registered investment companies is preferred.
• Ability to design and execute testing independently and identify meaningful issues.
• Strong analytical, communication, and problem-solving skills.
• Ability to manage multiple reviews and projects with attention to detail.

Responsibilities

• Plan and execute risk-based compliance testing and monitoring across investment adviser, broker-dealer, and registered investment company activities.
• Independently define scope, sample selection, documentation, and evaluation of testing results.
• Assess design and effectiveness of policies, procedures, controls, and supervisory processes.
• Support 38a-1 compliance program activities including testing, documentation, remediation tracking, and annual reporting.
• Conduct compliance reviews for investment advisers and broker-dealers; assess regulatory risks.
• Perform broker-dealer testing related to supervision, sales practices, licensing, and regulatory requirements.
• Analyze data, reports, and exceptions to identify potential regulatory or control concerns.
• Document testing methodology, results, findings, and conclusions clearly for stakeholders.
• Identify control gaps, root causes, and work with partners to implement corrective actions.
• Track findings and remediation through to resolution and validate actions when appropriate.
• Communicate results and recommendations to Compliance leadership and business partners.
• Lead or contribute to risk assessments and prioritize testing based on risks.
• Suggest enhancements to testing methodologies, monitoring activities, and controls.

Skills

Compliance testing

Regulatory affairs

Risk management

Internal audit

Data analysis

Communication skills

Relationship building

Project management

Attention to detail

MS Office

Education

Bachelor's degree in business/finance/risk management

Tools

Regulatory systems

Job description

Sammons Financial Group Inc. is seeking an experienced compliance professional to lead testing and monitoring across investment adviser, broker-dealer, and registered investment company programs.

You will independently plan, execute, and document risk-based reviews, evaluate controls, and drive remediation with business and compliance partners. The role requires strong knowledge of SEC/FINRA requirements, 7–10 years in financial services compliance, and effective communication with diverse