Good Life Companies · 20 hours ago
OSJ Compliance Specialist / OSJ Delegate
Charlotte, NC
Full-time
Onsite
Mid LevelGood Life Companies is a fast-growing, independent RIA platform that empowers financial advisors to achieve true independence and long-term success. The Compliance Specialist will assist in supervising transactions and compliance functions, supporting the compliance efforts of the firm and its affiliated financial advisors.
Asset ManagementFinancial Services
Responsibilities
Act as an Office of Supervisory Jurisdiction (OSJ) Delegate with review of transactions for suitability and best interest, monitor daily reports and alerts for reports of unusual activity, and field calls from advisors and internal business partners
Build rapport with advisors to support clear compliance communication and proactively help address potential risks in day-to-day activities
Help staff and associated representatives develop a broader skill base and level of understanding of risks and their compliance responsibilities
Manage multiple and changing priorities, expectations and concerns while working closely with the financial advisors in a focused and responsive manner
Assist with the maintenance of the Compliance department's written supervisory procedures
Offer assistance with regulatory exams and audit requests
Accountable for planning and preparation of pre-audit material, follow-up with financial advisors, and support to sustain successful compliance practices
Provide feedback on opportunities to improve compliance processes and support implementation efforts as directed by leadership
Assist in gathering data and preparing recommendations to support risk-related initiatives led by senior compliance leadership
Coordinate the filing of the weekly, monthly and quarterly reporting obligations of all affiliated personnel
Collect and document Client Annual Reviews and Account Reviews; Business Continuity Plans; Personal Securities; Advisor Correspondence; and Financial Plans
Participate in and support process improvement initiatives, utilizing continuous improvement methods and tools to enhance the efficiency of departmental tasks
Assist with the onboarding/termination process for investment adviser representatives (IARs), registered representatives and their staff
Track licenses and registrations, handle renewals, ensure ongoing training and continuing education requirements are met for IARs and registered representatives
Assist with timely and accurate filing of regulatory reports (e.g., Form ADV, U4, U5, 13F and other required filings)
Review disclosure related documentation and provide guidance to registered individuals on disclosure reporting requirements
Assist in the investigation of compliance matters by gathering information, preparing summaries, and escalating findings to senior compliance staff for review
Support the compliance team by researching regulations and preparing summaries to assist in policy updates and decision-making
Create and maintain internal compliance tracking dashboards and assist in preparing reports for leadership review
Perform other duties and complete ad hoc projects as assigned
Qualification
Required
High school diploma or GED required
FINRA securities registrations of SIE, Series 7, Series 66 (or 63 and 65); Series 24 preferred (or willingness to obtain within 120 days of hire)
Experience and knowledge of FINRA, SEC and state securities rules and regulations
Working knowledge of Microsoft applications (Word, Excel, Outlook)
Strong regulatory and business knowledge, analytical and problem-solving skills
Strong presentation, written, and interpersonal communication skills
Ability to work on multiple tasks and manage team priorities and workload
In-depth knowledge of compliance practices, tools, techniques, concepts, and trends
Team player who works constructively with others to achieve team goals and adhere to the firm's Service Standards
Ability to work independently as well as collaboratively in a team environment
Ability to organize, prioritize, and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment
Preferred
Bachelor's degree in Finance, Business, or related discipline preferred
Series 24 preferred (or willingness to obtain within 120 days of hire)
Company
Good Life Companies
Our mission is to help more Americans and business owners achieve their version of the Good Life.
Founded in 2014
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Conor Delaney, CEO
Founder & Chief Executive Officer
Lee Alcorn
Chief Financial Officer
Recent News
2025-10-30
Company data provided by crunchbase