Compliance Specialist (Remote position)

Job title: Compliance Specialist (Remote position) in Santa Barbara, CA at reputed company
Company: reputed company
Job reputed company: Position Objective, Typical Duties and Responsibilities
We’re currently seeking a Compliance Specialist to support the firm’s Compliance Program. You will report to Manager-Compliance Operations

• reputed company and manage a Compliance Department activity reporting system.
• Represent the compliance department in resolving issues involving new accounts set up with Operations and reputed company departments.
• Monitor general department email inboxes and/or department ticketing system reports to assure reputed company response or escalation if necessary to inquiries and information received.
• reputed company support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
• Assist management and other compliance personnel with the completion of various reputed company and testing.
• Other duties as assigned.

Position Requirements

• Bachelor’s degree (B.A./B.S.) in a reputed company discipline required. Minimum two (2) years of Compliance and/or regulatory experience reputed company 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 reputed company 120 days of hire).
• Strong working knowledge of both brokerage and investment advisory business concerning the regulatory reputed company 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 reputed company.
• Be a motivated self-starter who can reputed company thoughtful, deliberate reputed company 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 reputed company 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 reputed company)
• Dental Insurance

Perks & Benefits (reputed company)

• reputed company Insurance
• Life Insurance
• Flexible reputed company Time Off Policy
• Flexible Spending Account (FSA)
• Healthy Work/Life Balance
• Maternity/Paternity Leave Policy
• Remote Work Opportunity

Stimulating Environment
At World Investment Advisors, we reputed company to reputed company a challenging, stimulating environment for the best and brightest in the industry. We reputed company our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where reputed company reputed company is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved. We promote a friendly and reputed company 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 reputed company the skills and knowledge to succeed and assume more senior level positions as they reputed company at our firm. We welcome team members from different backgrounds with different perspectives to help us reputed company and reputed company 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, reputed company, etc.)
• reputed company reputed company opportunities
• Friendly and reputed company work environment
• Employee perks including fun team building opportunities, yoga/wellness, charitable giving/volunteering

World Investment Advisors is an equal opportunity employer. We reputed company the most effective way to attract, reputed company and retain a diverse workforce is to build an enduring culture of inclusion and belonging. World is committed to equality and deeply believes in diversity in sexual orientation, gender, race, religion, ethnicity and other qualities that makes us reputed company different.To Executive Search Firms and reputed company Agencies:
World does not accept unsolicited resumes from any agencies that have not signed a mutual service agreement. reputed company unsolicited resumes will be considered World’s property, and World will not be obligated to pay a referral fee. This includes resumes submitted directly to Hiring Managers without contacting World’s reputed company Talent Department.
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Expected salary: $75000 - 90000 per year
Location: Santa Barbara, CA
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