Compliance Officer

Larson Network Services, LLC•St. Louis, MO

About The Position

The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”). LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm’s policies and procedures. In addition to other duties as assigned, COs help maintain regulatory compliance by researching and communicating requirements, reviewing and approving applications and advertising materials, testing policies and procedures and supporting internal and external audits. COs may be named as Designated Supervisory Principal and or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program.

Requirements

Bachelor’s Degree or Higher
Series 7, Series 66(63/65) and Series 24 or Series 9/10
5+ years’ experience in financial services

Nice To Haves

Series 53, Series 27 or Series 28 and life and health insurance license
Professional certification such as CRCP®, IACCP®, CFE, CRM or CAMS
Experience with private equity, variable insurance or other complex products
Experience developing and implementing compliance programs
High levels of integrity, confidence, self-awareness and a sense of humor
Team player with the ability to work with minimal supervision
Accountable and willing to hold others accountable
Critical thinker with strong analytical and investigative skills
Able to easily grasp and comprehend risks
Able to handle sensitive and confidential information with prudence and care
Adaptable to working in a fast-paced environment
Strong communication and conflict resolution skills
Strong organization skills and attention to detail?
Continuous improvement mindset
Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, etc.)

Responsibilities

Help maintain regulatory compliance by researching and communicating requirements
Reviewing and approving applications and advertising materials
Testing policies and procedures
Supporting internal and external audits
May be named as Designated Supervisory Principal and or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program
Other duties as assigned