Compliance Specialist
2 days ago
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OnsiteFull-timeSenior
Summary
Oxford Financial Group, Ltd. is seeking a Compliance Specialist to join their team in Carmel, IN. The role involves ensuring adherence to regulatory requirements, particularly those set by the SEC, through oversight of marketing material reviews, compliance testing, and risk management efforts.
About the Role
As a Compliance Specialist, you will conduct marketing and social media reviews, support the development of new regulatory initiatives, assist in risk management program enhancements, and participate in audits and regulatory examinations. You will also contribute to compliance training and maintain compliance calendars, while fostering a culture of internal client service.
About You
Required:
- Bachelor's degree in Business, Finance, Economics, or a related field, or a combination of education and relevant experience.
- Seven to ten years of regulatory compliance or risk management experience at a broker-dealer or RIA.
- Demonstrated working knowledge of the Investment Advisers Act of 1940 and SEC regulatory framework.
- In-depth understanding of relevant regulations, including anti-money laundering (AML) and data privacy laws.
- Extensive experience reviewing marketing and advertising for compliance regulations.
Preferred:
- Proven ability to thrive in a fast-paced, deadline-driven environment.
- Demonstrated flexibility and a proactive willingness to take on new responsibilities.
- Strong desire to learn and deliver high-quality results.
- Effective collaboration skills within a team setting and ability to work independently.
- Proficiency in Microsoft Office Suite, particularly Excel.
Benefits
- Competitive salary and benefits package.
- Opportunities for professional development and training.
Oxford Financial Group, Ltd.
Oxford is one of the largest independent RIA firms in the country with oversight of more than $35 billion in assets under advisement* (which includes assets under management). Oxford has 25 Managing Directors in seven market offices who serve family and institutional clients across the country, with offices in Atlanta, Chicago, Cincinnati, Grand Rapids, Indianapolis, Minneapolis and Palm Beach.** *As of 12.31.23 **As of 12.31.24
Carmel, IN