Iowa Licensed Compliance Advisor

Job Summary

To support compliance efforts within broker-dealer operations, the full-time Iowa Licensed Compliance Advisor will act as a compliance partner and subject matter expert, providing guidance on regulatory changes, evaluating compliance situations, and participating in special projects, all while working remotely.

Key responsibilities

• Monitor regulatory changes and provide comprehensive research and analysis on compliance matters
• Evaluate compliance situations and communicate guidance to business partners and management
• Assist in preparing for regulatory exams and contribute to policy and procedure development

Required qualifications

• Bachelor's degree or equivalent; 6+ years of experience in broker-dealer trading operations and compliance
• FINRA Series 7 and 24 licenses preferred, or ability to obtain within 6 months of hire
• Experience in data analysis and risk management frameworks
• Mentoring and coaching experience in compliance roles
• Strong understanding of governing laws and regulations related to compliance