Compliance Officer

Diversify • Sandy, UT

7d • Hybrid

About The Position

This position plays a pivotal role on our compliance team, and we are looking for a qualified individual with experience in supervision and/or investment advisory compliance. This is a fast-paced role that requires absolute attention to detail and critical thinking skills to evaluate and resolve complex issues. This position offers significant opportunities for career development and growth within the company. This is a full-time role with flexibility for hybrid or remote work.

Requirements

• Must have 5+ years of Compliance or Supervision experience in a broker-dealer (BD) or a registered investment adviser (RIA)
• Comprehensive knowledge of alternative investments
• Exceptional organization and communication skills
• Superior problem-solving skills and ability to convey confidence in your work
• Strong understanding of products and services offered at a broker-dealer
• Strong understanding of the various types of advisory services offered by a registered investment adviser
• FINRA Series 7, 63, 65 (or equivalent) and 24 Preferred

Nice To Haves

• Experience with an independent wealth management platform is a plus
• Investment Adviser Certified Compliance Professional IACCP® a plus

Benefits

• Core Benefits - Medical with HSA and FSA options, dental, and vision.
• Preparing for Your Future - 401(k) with a generous company match, access to a personal financial planner, and unique investment options.
• Great Team Culture - Team members consistently rave about having great colleagues.
• Time Off - We value family, giving back, making a positive impact in society, and creating time to enjoy life. You will enjoy 4 weeks paid time off, 12 paid holidays, and 2 days for giving back.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed