Compliance Specialist

Compliance Specialist

We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report to Manager-Compliance Operations.

Position Requirements :

Bachelor's degree (B.A. / B.S.) in a related discipline required. Minimum two (2) years of Compliance and / or regulatory experience within both RIA and broker-dealer business segments.

Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire).

Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate.

A deep understanding of industry rules governing supervision, suitability, and registrations.

Excellent technology and communication skills.

Ability to work independently to manage time and prioritize tasks efficiently.

Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.

The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.

Preference Given to Candidates with the Following Qualifications :

Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02.

Already hold a Life, Health, & Variable Annuity license.

Compensation :

The salary for this position generally ranges between $75,000-90,000. This range is an estimate, based on candidate qualifications and operational needs. The firm also has a bonus program.

Perks & Benefits :

401(k) with Employer Match

Health Insurance (with HSA option)

Dental Insurance

Vision Insurance

Life Insurance

Flexible Paid Time Off Policy

Flexible Spending Account (FSA)

Healthy Work / Life Balance

Maternity / Paternity Leave Policy

Remote Work Opportunity

About World Investment Advisors :

As part of World Insurance Associates, LLC World Investment Advisors is a nationally recognized financial services firm dedicated to providing the industry's premier wealth management and retirement plan investment advisory services to individuals, high net worth families and employers.

Stimulating Environment :

At World Investment Advisors, we strive to provide a challenging, stimulating environment for the best and brightest in the industry. We believe our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where professional growth is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved. We promote a friendly and collaborative work environment. We are motivated by team camaraderie and are obsessed with doing the right thing for our plan sponsor clients and their plan participants.

Team-Oriented :

Professionals typically work together in teams with multiple people from different departments to meet our clients' needs. Our junior staff works with their team members to develop the skills and knowledge to succeed and assume more senior level positions as they progress at our firm. We welcome team members from different backgrounds with different perspectives to help us innovate and make a difference for our customers and our communities.

Why World? :

Great company culture with an awesome team-oriented atmosphere!

Mentorship Opportunities

Ability to serve on different internal steering committees (Charitable Giving, DEI, Social, etc.)

Professional growth opportunities

Friendly and collaborative work environment

Employee perks including fun team building opportunities, yoga / wellness, charitable giving / volunteering