Compliance Consultants, Mid to Senior Levels

Compliance Consultants, Mid to Senior Levels, jobs available! Our highly rated Financial Group Client is looking for 3 compliance professionals to join their stellar team! Above all, pursue a career with meaning and purpose. Furthermore, Compliance Consultants will have the opportunity to contribute to our client’s financial success while making a difference in the lives of those they do business with, their coworkers, and our communities. Apply now for these excellent Compliance Consultants opportunities at a company recognized as one of Glassdoor’s 2021 Best Places to Work by clicking on the Apply Now button above! This is Job 2909.

Job Summary

Assist in the management and coordination of broker/dealer compliance activities, both internally and externally. Support variable and mutual fund compliance product initiatives and the development of business unit controls. Ensure timely and accurate regulatory filings such as registration statements, amendments, supplements, Form U4 and U5 and state product filings. Salary is $50k to 94k. This job’s location is Des Moines, Iowa preferred but Client is open to Remote. Apply now for these excellent Compliance Consultants, Mid to Senior Levels jobs by clicking on the Apply Now button above! This is Job 2909.

Essential Functions

  • Assist in the administration of compliance programs adopted pursuant to SEC Rule 38a-1.
  • Of upmost importance, support the annual processes for FINRA Rule 3120, SEC Rule 38a-1 and state/federal testing requirements.
  • Ensure timely and accurate regulatory filings, including registration statements, amendments, supplements, and state related filings.
  • Also, review electronic communications sent and received by associated persons of the firm in various systems.
  • Provide FINRA review of advertising and marketing materials to ensure compliance with FINRA, SEC and state regulatory requirements.
  • In addition, assist in the development and execution of the comprehensive risk-based monitoring and testing to determine the effectiveness of policies and procedures and compliance with regulatory requirements.
  • Review, analyze and update current policies and procedures; identify, recommend, and implement new and/or enhanced practices.
  • Make timely and logical decisions and recommendations in complex and unusual situations in the absence of specific direction.
  • Furthermore, train and educate business partners on securities products, compliance and FINRA advertising guidelines.
  • Manage the on-boarding of new registered representatives which includes reviewing and credit and background reports. Assist new representatives on licensing requirements in required states and schedule exams.
  • And conduct branch and non-registered office inspections.
  • Update and maintain complete and accurate policies, procedures, compliance logs and files.
  • Manage fingerprinting process for all non-registered employees and ensure all are completed timely.
  • Also, identify continuing education (CE) requirements for current registered representatives and schedule exams as needed.
  • Manage U-4 amendments (i.e., outside business activity, address changes, disclosures, state).
  • In addition, manage annual year-end renewals and state registrations to ensure all licensing requirements are accurate and updated in addition to being accountable for record retention of this information.
  • Participate in special projects to ensure that corporate initiatives are successfully completed.
  • Participate in other initiatives and/or projects as necessary.


  • Bachelor’s Degree in Business Management preferred.
  • Uppermost, minimum 5 years’ experience working with compliance, variable/mutual fund products or internal audit in an insurance environment preferred.
  • Previous FINRA and SEC knowledge preferred.
  • Furthermore, solid knowledge of variable life and variable annuity products and insurance company operations.
  • Proficient knowledge of securities regulations (i.e., state, federal and FINRA) impacting variable life and variable annuity products and familiarity with exchange-traded funds (ETFs).
  • Ability to be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions.
  • In addition, demonstrated ability to make sound and proper decisions by applying personal knowledge of guidelines, product information and personal professional judgement in review of assigned materials.
  • Ability to utilize PC administrative tools (i.e., Microsoft Office Suite: Word, Excel, and Access).
  • Also, proficient understanding of the electronic filing system used by FINRA for submission of advertising reviews.
  • Excellent oral and written communication skills.
  • And exhibit ability to build and maintain ongoing key relationships with regulatory personnel as well as industry contacts and business partners.
  • Strong work ethic.
  • In addition, due to the financial nature and level of accountability of this job, a credit and criminal background check is required – The Fair Credit Reporting Act requires our Client to notify you that, as a routine part of processing this application for employment, our Client may request a consumer report on you to verify all your information provided. Such report may include information about work-related behaviors, performance, character, general reputation, and personal characteristics, in addition to information about your previous employment, education, credit history and criminal records.
  • FINRA regulations require fingerprinting for this job.

Licenses and Certifications

  • Series License-6 or Series License-7 or ability to obtain within 120 Days required.
  • Series License-26 or Series License-24 or ability to obtain within 120 Days required.


  • Travel may be required for up to two conferences annually.

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Additional resource links for West Des Moines, Iowa: City of West Des Moines and Wikipedia.

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