Compliance Officer
5 Nov 2025
Saint Louis
Verified by Turrior
Content + Source + Freshness • 13 Feb 2026 • 95% confidence
82 / 100
Offer value
The position provides strong career advancement opportunities within a respected organization.
- Salary around $85,000/year within a highly regarded firm
- Opportunity for professional growth and continued education
- Authorities in a leading financial organization
- Requires specific securities licensing
Pros
- Reputable organization with a long-standing history in financial services
- Opportunities for licensing and professional growth
- Direct involvement in compliance and risk management initiatives
Cons
- Requires strict adherence to regulatory standards, which can be stressful
- Expectations for ongoing learning and development
- Potentially high-pressure environment due to compliance responsibilities
Who it's for
Mid to Senior Level • In-office
Good fit
- Experienced compliance officers or risk managers
- Individuals with a strong regulatory background
- Candidates eager to grow in a financial services environment
Not recommended for
- Entry-level candidates without relevant licensure or experience in finance
- Those uninterested in compliance-related work
- Professionals seeking flexible or remote working options
Motivation fit
Interest in ethics and compliance within financeDesire to influence a compliance culture in an organizationMotivation to work closely with leadership on regulatory matters
Key skills
Knowledge of RIA and Broker-Dealer regulationsStrong communication and analytical abilitiesExperience in compliance monitoring and reporting
Score: 82/100 AI verified analysis
About the job
Why is This a Great Opportunity?
• Join a well-established, highly reputable financial services organization with over a century of success.
• Directly contribute to a strong culture of integrity, transparency, and regulatory excellence.
• Collaborate closely with firm leadership on compliance and risk management initiatives.
• Gain exposure to both investment advisory and broker-dealer regulatory environments.
• Opportunity for continued professional growth, licensing, and advancement.
Job Description:
The Compliance Officer supports the firm’s compliance program by overseeing the implementation of internal controls, policies, and monitoring systems that mitigate regulatory and operational risks.
This role works cross-functionally with management and business teams to ensure compliance with applicable laws, rules, and regulations.
• Develop, update, and enforce compliance policies, procedures, and internal controls.
• Monitor sales, marketing, and client activities for adherence to regulations.
• Review communications, advertising, and social media for compliance accuracy.
• Interpret industry regulations and provide clear, actionable guidance.
• Support training and continuing education programs.
• Review money movement, AML, and exception-based monitoring reports.
• Prepare responses to regulatory inquiries and examinations.
• Provide compliance support and build a proactive compliance culture across teams.
Qualifications:
• Bachelor’s degree preferred.
• Active securities licenses Series 7 and 63/66 required; Series 4, 9, 10, or 24 to be obtained within six months.
• Strong knowledge of RIA and Broker-Dealer regulatory environments.
• Excellent communication and analytical skills.
• Ethical, detail-oriented, and able to manage confidential information.
#ACCNOR
• Join a well-established, highly reputable financial services organization with over a century of success.
• Directly contribute to a strong culture of integrity, transparency, and regulatory excellence.
• Collaborate closely with firm leadership on compliance and risk management initiatives.
• Gain exposure to both investment advisory and broker-dealer regulatory environments.
• Opportunity for continued professional growth, licensing, and advancement.
Job Description:
The Compliance Officer supports the firm’s compliance program by overseeing the implementation of internal controls, policies, and monitoring systems that mitigate regulatory and operational risks.
This role works cross-functionally with management and business teams to ensure compliance with applicable laws, rules, and regulations.
• Develop, update, and enforce compliance policies, procedures, and internal controls.
• Monitor sales, marketing, and client activities for adherence to regulations.
• Review communications, advertising, and social media for compliance accuracy.
• Interpret industry regulations and provide clear, actionable guidance.
• Support training and continuing education programs.
• Review money movement, AML, and exception-based monitoring reports.
• Prepare responses to regulatory inquiries and examinations.
• Provide compliance support and build a proactive compliance culture across teams.
Qualifications:
• Bachelor’s degree preferred.
• Active securities licenses Series 7 and 63/66 required; Series 4, 9, 10, or 24 to be obtained within six months.
• Strong knowledge of RIA and Broker-Dealer regulatory environments.
• Excellent communication and analytical skills.
• Ethical, detail-oriented, and able to manage confidential information.
#ACCNOR
