Compliance Specialist

Gladstone Wealth Partners

Not specified; not specified; competitive compensa...
Onsite
Strong attention to detail
Excellent written communication skills
Ability to manage multiple tasks
The Compliance Specialist plays an essential role in supporting Gladstone's Registered Investment Advisor compliance and supervision framework

Job Summary

  • The Compliance Specialist plays an essential role in supporting Gladstone's Registered Investment Advisor compliance and supervision framework.
  • This individual will assist in daily monitoring activities, manage workflow queues, and ensure advisors adhere to regulatory requirements.
  • Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products with a strong insurtech focus.

Matching Summary

The Compliance Specialist plays an essential role in supporting Gladstone's Registered Investment Advisor compliance and supervision framework.

Salary

Not specified; Not specified; Competitive compensation package including benefits

Skills & Requirements

Must-have

  • Strong attention to detail
  • Excellent written communication skills
  • Ability to manage multiple tasks
  • Proficiency with Microsoft Office

Nice-to-have

  • Interest in learning regulatory landscape
  • Ability to work independently
  • Collaborative team player

Key Requirements

  • Experience within financial services preferred
  • Familiarity with Investment Advisers Act of 1940 preferred
  • Ability to obtain required qualifications within 12-18 months

Work Rights

Not specified

Tailored Resume

Cover Letter