Compliance Associate

Signal Advisors is a company that is on a mission to solve the retirement crisis. They are looking for a Compliance Associate to be a key partner to the Chief Compliance Officer in executing the firm's compliance program. The Compliance Associate will be responsible for reviewing and monitoring the sales and trading activities of financial advisors, tracking and reporting deficiencies, and assisting with marketing review and internal control monitoring.

Requirements

• Minimum of two years compliance and/or supervisory experience within an RIA
• Insurance and securities marketing review experience
• FINRA Series 65/66; Series 7 and annuity and insurance knowledge is a nice to have
• Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations
• Deadline and detail-oriented with outstanding organizational and time management skills
• Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving

Benefits

• Medical, vision, and dental coverage
• FSA or HSA-eligible health plans
• 3% 401k company contribution with no vesting period
• Paid parental leave for all parents
• Learning & Development stipend
• Wellness Programs
• Flexible vacation policy
• Dedicated sick days
• 10 company-wide holidays
• $500 for your home office setup
• Flexible, hybrid working environment
• Annual all-company retreat
• Competitive equity package based on on role and level