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Signal Advisors · 1 month ago

Compliance Associate

Detroit, MI

Full-time

Hybrid

Entry, Mid Level

2+ years exp

Signal Advisors is on a mission to solve the retirement crisis by reimagining the financial advisory industry with new technologies and comprehensive services. As a Compliance Associate, you will support the Chief Compliance Officer in executing compliance programs, focusing on regulatory adherence, monitoring sales and trading activities, and providing compliance guidance across the firm.

Financial ServicesInsuranceLife Insurance

Responsibilities

Review and monitor the sales and trading activities of financial advisors, tracking, reporting, and resolving deficiencies related to exception reports

Respond to state registration inquiries and coordinate the compliance on-boarding of new financial advisors

Assist in the investigation and resolution of customer complaints and inquiries from regulatory bodies (FINRA/SEC/State)

Provide monthly and quarterly compliance reports and assist with responding to firm inquiries

Assist with marketing review, including internal and external advisor and retail client collateral

Assist with IAR supervision including issue identification and remediation, account billing and suitability review, and other supervision duties

Help monitor employee account oversight and maintain internal regulatory records

Act as a compliance resource, providing guidance on regulatory requirements and firm policies across all business lines

Other compliance-related responsibilities due to continued growth

Qualification

SEC RIA regulationsFINRA regulationsCompliance reportingInsurance knowledgeSecurities marketing reviewFinancial services knowledgeExcel proficiencyProblem-solvingOrganizational skillsTime managementVerbal communicationWritten communicationIntegrity

Required

Minimum of two years compliance and/or supervisory experience within an RIA

Insurance and securities marketing review experience

Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations

Deadline and detail-oriented with outstanding organizational and time management skills

Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving

Excellent verbal and written communications skills to provide clear compliance guidance to advisors and respond to regulatory inquiries

A person with the aptitude for analysis, investigation, and problem-solving, who is 'Obsessed with finding a better way' to streamline regulatory processes

An energetic professional with outstanding organizational and time management skills who can 'act with a sense of urgency' to meet critical deadlines

An individual who embodies integrity and understands that sticking to the highest standard is not optional