Junior Compliance Officer
About The Position
The Junior Compliance Officer supports the Chief Compliance Officer and the Senior Compliance Officers in the day-to-day administration of Diversify’s compliance program across both its registered investment adviser (RIA) and broker-dealer (BD) business lines. This is a hands-on role for someone who wants to build deep, practical fluency in SEC and FINRA rules and apply that understanding to help advisors and offices operate compliantly and efficiently. The role is split roughly evenly between RIA-side and BD-side compliance work, with general operational support to the CCO and senior compliance staff as needed. This is a full-time, in-office position. This role reports directly to the Chief Compliance Officer as part of a compliance team and supporting the senior compliance officers. Offers direct exposure to both RIA and broker-dealer regulatory work.
Requirements
- Series 7 and Series 66 required.
- Working knowledge of, or strong willingness to develop deep fluency in, SEC and FINRA rules applicable to dual-registered firms.
- High attention to detail and comfort researching and interpreting regulatory requirements independently rather than working from routine checklists.
- Strong written and verbal communication skills; able to explain compliance requirements clearly to non-compliance staff.
- Proficiency in Microsoft Office; experience with compliance systems (e.g., a CRM-integrated surveillance tool, e-communication archiving platform, or trade monitoring system) is a plus.
- Ability to exercise sound judgment and maintain confidentiality with sensitive regulatory and client information.
Nice To Haves
- Bachelor’s degree preferred.
- Strong relationship building skills is a must.
- Prior experience in a compliance, brokerage operations, or registered investment adviser support role is preferred; candidates early in their compliance career with strong aptitude and attention to detail are encouraged to apply.
Responsibilities
- Assist in review of advertising or marketing prior to use or distribution, in coordination with the senior compliance officers.
- Support daily/weekly trade blotter review and exception report follow-up (e.g., suitability flags, concentration, active trading).
- Assist in maintaining and updating Written Supervisory Procedures (WSPs) for broker-dealer activities.
- Assist in registered representative licensing, CRD/U4-U5 processing, continuing education (CE) tracking, and outside business activity (OBA) and private securities transaction (PST) review.
- Assist with branch office inspections and OSJ review cycles.
- Support the firm’s AML/BSA monitoring program, including transaction monitoring and SAR review assistance.
- Assist with amendments to Form ADV Parts 1, 2A, and 2B.
- Help administer the firm’s Code of Ethics, including personal securities transaction reporting, and gifts and entertainment logs.
- Support the annual compliance program review required under Advisers Act Rule 206(4)-7.
- Assist the CCO with regulatory correspondence, inquiries, and exam preparation (SEC, FINRA, and state regulators).
- Maintain the compliance calendar and regulatory filing deadline tracker.
- Support electronic communication surveillance, including archiving and lexicon-based review.
- Respond to day-to-day compliance questions from field offices and advisors, escalating to the CCO as appropriate.
- Coordinate compliance training for registered representatives and investment advisor representatives.
Benefits
- Medical with HSA and FSA options, dental, and vision.
- 401(k) with a generous company match.
- Generous Time Off: 4 weeks PTO, 12 paid holidays, and 2 paid volunteer days.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
