Compliance Manager Tax & Financial Group - 5.0 Newport Beach, CA Job Details Full-time $120,000 - $155,000 a year 21 hours ago Benefits 401(k) 401(k) matching Qualifications Microsoft Outlook Team leadership Series 66 Series 7 Bachelor's degree Series 24 Life & Health Insurance License General management Full Job Description Join Our Team as a Compliance Manager We are a thriving comprehensive financial services firm that has been dedicated to empowering clients toward long term financial security for more than 55 years. We are seeking an experienced Compliance Manager to join our Newport Beach headquarters and play an important role in supporting the firm's continued commitment to strong regulatory, supervisory, and ethical business practices. About the

Role:

TFG is seeking an experienced and highly knowledgeable Compliance Manager to oversee the day to day compliance activities of the firm. Reporting to the CEO and serving as a key member of the management team, this individual will be responsible for developing, implementing, and maintaining effective compliance processes and procedures while helping ensure the firm operates in accordance with applicable regulatory requirements and internal standards. The ideal candidate brings strong financial services compliance experience, sound judgment, leadership skills, and the ability to work collaboratively with advisors, associates, management, our broker dealer, and other business partners. This is a full time, in person position based at our Newport Beach headquarters.

What We Offer:

Generous Time Off:

Enjoy over 30 days per year and recharge. Work schedule designed to support work life balance. Daytime hours Monday through Friday.

Competitive Compensation:

We value your skills and expertise. 401(k)

Match:

Help secure your financial future with our matching contributions. Must meet eligibility requirements.

Collaborative Environment:

Work alongside experienced specialists and a dedicated team.

Impactful Work:

Contribute directly to our clients' financial journeys and success.

Professional Growth:

Opportunities for skill and career development.

Primary responsibilities include:

Develop, maintain, and implement effective compliance processes, policies, and procedures. Manage day to day compliance activities and maintain the firm's compliance calendar and required supervisory reviews. Proactively review and audit processes, practices, reports, and documentation to identify and address potential compliance concerns. Monitor regulatory and firm requirements related to areas including advisor activities, correspondence, advertising, social media, gifts and entertainment, outside business activities, client documentation, and required registrations. Prepare for and coordinate regulatory and internal audits of the headquarters and branch locations, including conducting branch inspections and following up on identified items. Conduct required supervisory reviews and Registered Representative interviews and monitor completion of annual compliance requirements. Review and address compliance related reports, questionnaires, and disclosures Provide ongoing compliance training and guidance to associates on applicable policies, procedures, regulatory requirements, privacy, documentation, and other compliance topics. Support the firm's cybersecurity compliance efforts, including required audits, access reviews, training, and business continuity planning Maintain awareness of regulatory developments, broker dealer requirements, internal standards, and business objectives and implement appropriate changes to firm processes. Partner with advisors, associates, management, Broker Dealer, and other business partners to address compliance questions and requirements. Assist with compliance related responsibilities associated with advisors transitioning to or from the firm. Travel periodically to branch locations, Broker Dealer office, conferences, and other approved business locations as needed.

Requirements:

Bachelor's degree. Minimum of five years of experience in a similar financial services compliance role. Deep knowledge and understanding of financial services compliance procedures and supervisory requirements. Strong leadership, management, and interpersonal skills. Excellent written and verbal communication skills. Sound judgment with the ability to appropriately handle confidential and sensitive information. Self motivated, self disciplined, organized, and able to manage multiple responsibilities and deadlines. Proficient with Microsoft Office and Outlook. Must hold and maintain Series 24, Series 7, and Series 66 or equivalent securities registrations. Must hold and maintain a California Life and Health Insurance License. Must be able to obtain and maintain required appointments as an Investment Advisor Representative and Registered Representative with Cetera Wealth Services, LLC. Must meet applicable background check and fingerprinting requirements.

Compensation:

The expected pay range for this position is between $120,000-$155,000 annually. The actual compensation will be determined based on experience and other factors permitted by law.

Work Location:

In Person, Newport Beach Office Industry:

Financial Services Employment Type:

Full Time (Exempt) The preceding functions have been provided examples of the types of work performed by employees assigned to this job classification. Management reserves the right to add, modify, change or rescind work assignments and to make reasonable accommodations as needed.

Our Culture:

Discover more about our engaging work culture by exploring our latest posts on https://www.linkedin.com/company/tax-&-financial-group/posts/ Join us in making a positive impact on our clients' financial futures and enjoy a fulfilling career in a supportive environment!

Job Type:

Full-time Pay:

$120,000.00 - $155,000.00 per year

Benefits:

401(k) 401(k) matching Application Question(s): Do you hold Series 24, Series 7, and Series 66 Securities Registrations or Equivalent?

Work Location:

In person