Compliance Officer
📋 Role Overview & Responsibilities
WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled in managing deadlines, multi-tasking, prioritization and must be a highly proficient communicator.
Please note: You must currently hold FINRA S24 (or 9 &10)
Core Job Responsibilities:Conduct inspections of affiliated offices and producer interviews and complete required documentationMonitor and enforce disciplinary actions and tailored supervision arrangementsReview and monitor advisor transactions, correspondence, sales material and business practices per industry and company guidelinesApprove and monitor outside business activitiesDocument advisor onboarding and offboardingParticipate in firm inspections and regulatory audits Training and educationAdditional duties assigned by supervisorMust maintain FINRA licenses noted below
This position is Full-Time and works from the Indianapolis office. Salary is proportionate with qualifications and experience.
No immigration sponsorship available for this role.
Required Qualifications:Series 7, 24 (or 9 and 10), 66 (or 63 and 65)Bachelor's degree or equivalent combination of education and experience
Preferred Qualifications:3+ years of professional experience in a similar roleSeries 53 preferred, or must pass within 120 days of employment
WestPoint Financial Group is dedicated to bringing financial wisdom and clarity in a world of infinite information. Our associates are highly competent professionals, respected for their precise expertise, product knowledge and commitment to professional growth. Our stringent code of ethics places the client’s needs above all others and demands uncompromising integrity in every aspect of our business conduct.
Frequently Asked Questions
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This position is located in Indianapolis, IN with potential relocation and sponsorship assistance depending on candidate qualifications.
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