IHT Wealth Management ยท 21 hours ago
Compliance Officer
United States
Full-time
Remote
Mid, Senior Level
5+ years exp
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Hiring Manager
Matt Hilding
Insider Connection @IHT Wealth Management
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Responsibilities
Help drive overall supervisory program and help ensure that activities satisfy all pertinent legal, regulatory and firm requirements
Review sales activity utilizing a strong knowledge of products, sales processes, and oversight
Review advertising and marketing material
Actively promote awareness and compliance with policies and procedures through consistent, proactive communication with advisors and advisor staff
Support in the preparation and response for regulatory exams and audits and is also responsible for executing remediation steps required to close out any findings
Coordinates with Chief Compliance Officer to facilitate policies and procedures training for all personnel
Develop and maintain strong working relationships with advisors and staff
Assist with ad hoc project requests from senior management
Qualification
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Required
5-10 years of investment advisors and/or broker-dealer compliance experience
Knowledge of FINRA, SEC and state rules and regulations
Strong industry acumen, self-starter and the ability to work with minimal supervision
Strong project management skills
Series 7, 24 and Series 66 (or 63 and 65)
Judgment and Decision-Making
Working in Partnership with investment advisors and their teams
Leverages resources and delegates effectively
Creates a positive compliance and business culture
Strong written and verbal communication skills
Attention to detail and commitment to follow through
Solid organization skills and an ability to effectively prioritize in a dynamic environment
Ability to identify issues and trends and escalate as necessary
Preferred
LPL Financial and/or Schwab experience a plus
ERISA experience a plus
Benefits
Discretionary bonus
Benefits package
Company
IHT Wealth Management
IHT Wealth Management provides highly individualized client service and focuses on offering financial solutions.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Catarina Edwards
Chief Development Officer (CDO)
Lance Murray
Chief Compliance Officer
Recent News
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