Compliance Specialist
Allworth FinancialDallas, Texas, United States
Posted February 20, 2026
Full Time
About the Company
Allworth Financial is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management.
Job Description
Allworth Financial is an independent investment financial advisory firm seeking a Compliance Specialist to assist with the administration of the compliance program.
Requirements
- Bachelor’s degree (B.A.) in a related discipline
- Three (3-5) years of experience working with investment advisor and broker/dealer compliance issues
- Strong working knowledge of FINRA, SEC and state regulations
- Securities Licenses: Series 7, 24, 63 and 65 or 66
Benefits
- Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans
- Dental insurance with MetLife
- Vision insurance with VSP
- Flexible spending accounts
- Flexible working arrangements
- Generous 401K contributions
- Exempt associates qualify for our flexible paid time off policy
- Non-Exempt associates will receive 15 days of paid time off annually
- 11 Paid Holidays
- Option to participate in our Equity Purchase Program
