Compliance Officer

Larson Network Services, LLC • St. Louis, MO

82d

About The Position

The Compliance Officer (CO) is a key role within Larson Network Services (LNS), which provides back-stage operational support services, including compliance, to network companies. The network includes its affiliate broker-dealer, Larson Financial Securities, LLC (LFS), and registered investment advisors Larson Financial Group, LLC (LFG), Larson Wealth Partners, LLC (LWP), and Larson Capital Management, LLC (LCM), collectively referred to as the Firm.

The CO helps ensure that advisors and other associated persons comply with applicable federal and state requirements, SEC, FINRA and MSRB rules and regulations, and the Firm’s policies and procedures. COs may be named as Designated Supervisory Principal and/or Subject Matter Experts for certain branches or areas of the Firm’s Compliance Program. The role also includes other duties as assigned.

Requirements

• Bachelor’s degree or higher.
• Series 7, Series 66 (or Series 63/65), and Series 24 or Series 9/10.
• At least 5 years of experience in financial services.

Nice To Haves

• Series 53, Series 27 or Series 28, and a 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.
• Ability to readily grasp and comprehend risks.
• Ability to handle sensitive and confidential information with prudence and care.
• Adaptability in a fast-paced environment.
• Strong communication and conflict-resolution skills.
• Strong organizational skills and attention to detail.
• Continuous-improvement mindset.
• Proficiency in Microsoft Office Suite, including Word, Excel and PowerPoint.

Responsibilities

• Help ensure that advisors and other associated persons comply with applicable federal and state requirements, SEC, FINRA and MSRB rules and regulations, and the Firm’s policies and procedures.
• Research and communicate compliance requirements.
• Review and approve applications and advertising materials.
• Test policies and procedures.
• Support internal and external audits.
• Serve as a Designated Supervisory Principal and/or Subject Matter Expert for certain branches or areas of the Firm’s Compliance Program, as assigned.
• Perform other duties as assigned.

Benefits

• Profit-sharing bonus program.
• 401(k) with employer match up to 4%.
• Comprehensive medical, dental and vision insurance.
• Company-paid long-term disability insurance, life insurance and Employee Assistance Program (EAP).
• Voluntary short-term disability and supplemental insurance.
• Generous paid time off: 112 hours after 90 days.
• 12 paid holidays.
• Training, development and educational opportunities.
• Company events, recognition awards and team activities.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level