Base: determined by role, level, + location; bonus...
On-site
Regulatory compliance monitoring
Sales and marketing review
Internal control monitoring
Signal Advisors is on a mission to solve the retirement crisis by reimagining the financial advisory industry with new technologies and comprehensive services
Job Summary
Signal Advisors is on a mission to solve the retirement crisis by reimagining the financial advisory industry with new technologies and comprehensive services.
The Compliance Associate will partner with the Chief Compliance Officer to execute and monitor the firm's compliance program, focusing on SEC and FINRA regulations.
The company offers competitive benefits including medical, dental, vision coverage, 3% 401k contribution, paid parental leave, flexible vacation, and a flexible hybrid working environment.
Matching Summary
Signal Advisors is on a mission to solve the retirement crisis by reimagining the financial advisory industry with new technologies and comprehensive services.
Salary
Base: Determined by role, level, and location; Bonus/Equity: Competitive equity package based on role and level; Benefits: Medical, vision, dental, 3% 401k, paid parental leave, flexible vacation, wellness programs
Skills & Requirements
Must-have
Regulatory compliance monitoring
Sales and marketing review
Internal control monitoring
Deadline and detail-oriented
Financial advisor supervision
Compliance reporting
Office software proficiency
Nice-to-have
Problem-solving aptitude
Strong organizational skills
Excellent communication skills
Integrity and high ethical standards
Team collaboration
Proactive compliance resource
Adaptability to growth
Key Requirements
Minimum two years compliance experience in RIA
Knowledge of SEC and FINRA regulations
FINRA Series 65/66 certification
Experience with insurance and securities marketing review