Sr. Compliance Officer

Sr. Compliance Officer

Atlanta, GA | Full-Time | In-Office

Advisory Services Network, LLC is an SEC registered investment advisory platform comprised of a dedicated staff who work together to build unrivaled partnerships with our investment professionals. We currently support 151 offices across the United States and are rapidly increasing. We are a multi-custodial firm and clear through all of the major custodial platforms.

Our unique culture puts our investment professionals and their clients at the heart of everything we do.

Position Summary

The Compliance Specialist supports the Chief Compliance Officer in all aspects of the firm’s risk and compliance program while also providing operational and administrative support. This role is responsible for performing, analyzing, and facilitating key components of the firm’s compliance monitoring program in accordance with established policies, procedures, and regulatory requirements.

The Compliance Specialist will work both independently and collaboratively with members of the compliance and operations teams to help identify and mitigate risk, address compliance-related matters, and resolve operational issues. The ideal candidate is detail-oriented, highly organized, and able to manage multiple priorities efficiently. Strong written and verbal communication skills are essential.

We offer a fast-paced, collaborative work environment and the opportunity to play an important role in the firm’s continued growth. We are an equal opportunity employer offering a competitive salary and benefits package.

Key Responsibilities

• Proactively review Financial Advisor email communications and escalate potential concerns to the Chief Compliance Officer.
• Facilitate and review monthly Financial Advisor attestations and reports.
• Assist the Chief Compliance Officer with the firm’s branch inspection program, including scheduling, preparation, inspections, and follow-up.
• Review marketing and social media content for compliance with firm policies and regulatory requirements.
• Review daily reports and alerts and take appropriate action as needed.
• Assist with onboarding new Financial Advisors and support other compliance-related projects as assigned.
• Work independently to analyze issues, make sound decisions, and support timely resolution.
• Maintain a high level of accuracy and attention to detail in all work performed.

Skills and Experience Required

• 5 – 10 years of investment advisory compliance experience
• Excellent skills in Microsoft Office Suite and other technologies
• Organized, detail and service oriented and extremely thorough
• Good written and verbal communication skills; the ability to interact with all levels of staff
• Learning agile, able to adapt quickly and appropriately with the evolution of regulatory requirements
• Experience in CRD/IARD system a plus

Benefits

• Medical, Vision and Dental Insurance
• Prescription Drug Coverage / 401(k) Profit Sharing Plan / Paid Vacation and Holidays
• Life Insurance / Accidental Death and Dismemberment
• Voluntary Life, AD&D options, Long-Term Disability and Flexible Spending Accounts
• Domestic Partner Program

Please submit resumes to Recruitment@advservnet.com