Iowa Licensed Compliance Advisor

A company is looking for a Compliance Advisor to support advisory and wealth management business partners while acting as a compliance subject matter expert. Key Responsibilities Monitor regulatory changes and provide guidance on compliance matters Evaluate compliance situations and communicate decisions to business partners Participate in special projects and assist in crafting firm policies and controls Required Qualifications 6+ years of experience in broker-dealer trading operations and compliance Bachelor's degree or equivalent FINRA Series 7, 24, 65 and/or 66 required High level of understanding of the investment advisor environment IACCP designation and independent RIA experience desired

Apr 4, 2025 - 00:22

A company is looking for a Compliance Advisor to support advisory and wealth management business partners while acting as a compliance subject matter expert. Key Responsibilities Monitor regulatory changes and provide guidance on compliance matters Evaluate compliance situations and communicate decisions to business partners Participate in special projects and assist in crafting firm policies and controls Required Qualifications 6+ years of experience in broker-dealer trading operations and compliance Bachelor's degree or equivalent FINRA Series 7, 24, 65 and/or 66 required High level of understanding of the investment advisor environment IACCP designation and independent RIA experience desired