New Perspective Financial Solutions · 6 hours ago
Compliance Officer
United States
Part-time
Remote
Mid, Senior LevelNew Perspective Financial Solutions is a hybrid financial services firm providing insurance solutions and investment advisory services. They are seeking an experienced Compliance Officer to support and oversee day-to-day compliance operations across both investment advisory and insurance activities in a part-time, remote role.
AdviceFinancial ServicesRetirementTax Consulting
Responsibilities
Serve as a liaison between New Perspective Financial Solutions and the affiliated RIA’s compliance department
Support adherence to RIA policies, procedures, and supervisory requirements
Review marketing materials, presentations, seminars, websites, and digital content for compliance with SEC advertising rules
Monitor disclosures related to fiduciary duty, conflicts of interest, and advisory services
Assist with audit preparation, documentation requests, and regulatory inquiries in coordination with the RIA
Oversee compliance related to annuity and insurance sales practices
Ensure appropriate disclosures and documentation for non-fiduciary products
Monitor suitability, best-interest, and replacement documentation
Stay current on state insurance regulations and carrier requirements
Review educational content, seminars, webinars, social media, and promotional materials
Ensure clear separation of insurance and advisory messaging
Provide compliance guidance to advisors and staff on client communications
Support compliance training for advisors and staff
Assist with advisor onboarding and ongoing supervision
Identify compliance risks and recommend corrective actions
Qualification
Required
Experience in RIA and/or hybrid insurance-advisory compliance
Strong working knowledge of SEC Advertising Rule
Strong working knowledge of fiduciary vs. non-fiduciary standards
Strong working knowledge of annuity and insurance compliance requirements
Ability to work independently in a remote environment
Excellent written and verbal communication skills
Strong attention to detail and sound judgment
Preferred
Compliance certifications such as CRCP, IACCP, or CRCM
Prior experience working with independent advisors or small to mid-size firms
Benefits
Flexible, part-time remote work
Collaborative and professional firm culture
Opportunity to shape and strengthen compliance operations in a growing firm
Competitive part-time compensation based on experience
Company
New Perspective Financial Solutions
New Perspective Financial Solutions is a financial service company that provides retirement planning and life insurance services.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase