Compliance Officer needed for established financial advisor supervisory practice. If you’re not someone who prioritizes compliance and accuracy, that’s okay — but this is probably NOT the job for you.
Organization and focus are important for this position and need to be executed on a daily basis. You must be able to clearly express yourself with warmth and professionalism, verbally and in writing, and must present professional decorum when working with clients. Job responsibilities include examining all aspects of a financial advisor’s business from a compliance perspective. This includes daily review and approval of trades and paperwork for suitability and accuracy. This position also includes some field work, and interacting directly with advisors. One of the challenges of this position is keeping up with volume while treating each task carefully, and treating people with patience and respect. Our business dynamics demand a wide and varied scope of abilities. We oversee individual practices, financial institutions, RIAs, retirement planners and more.
Close attention to detail and the ability to multi-task are essential skills for this position. In addition, the successful candidate must have Series 7, Series 63 (or Series 66), and Series 24 Licenses. Prior experience with LPL Financial is preferred.
With everything we do, we stay conscious of our own integrity, reliability and service orientation. We would expect that the person who joins our team also sees these values as important. This position will be located in either our Olympia or Seattle office.
If this sounds like an environment you can thrive in, please send your resume (attached as a Word Document) with a cover email to the attention of Betty, at careers at financialadvocates dot com (The email address is intentionally made in text to avoid spam). Please include “Compliance Officer” in the subject line of your email and use your last name in your resume’s file name.