Compliance Principal Jobs in Kokomo,IN,US

Compliance Principal - Broker/Dealer & RIA We are seeking an experienced Compliance Principal to support a growing financial services organization with both broker/dealer and registered investment adviser operations. This role is ideal for a compliance professional who wants broader exposure across supervisory review, marketing oversight, operational support, and technology-driven process improvement. In this position, you will work closely with senior compliance leadership and play an important part in strengthening supervisory processes, supporting advisers, and helping the firm scale in a thoughtful and efficient way. The right candidate will bring strong regulatory judgment, excellent communication skills, and the ability to thrive in a collaborative, fast-moving environment.

Role Highlights p]:

pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Work directly with senior compliance leadership on program development and oversight.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Support a broad range of functions beyond traditional compliance, including operations and technology initiatives.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Help improve and scale internal processes and supervisory controls.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Contribute to vendor oversight, regulatory risk management, and exam readiness.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Have visibility across the organization and influence how the firm grows.

Key Responsibilities p]:

pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Review and approve advertising and marketing materials to help ensure alignment with FINRA, SEC, and state requirements.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Provide practical compliance guidance to advisers and internal teams.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Conduct risk-based supervisory reviews and support heightened oversight activities when needed.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Assist in maintaining and improving written supervisory procedures and related compliance documentation.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Support regulatory examinations, internal audits, and other compliance reviews.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Perform due diligence on third-party vendors, including privacy and data protection considerations.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Participate in the implementation of new compliance and operational systems.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Partner with leadership, operations, and technology teams to improve efficiency and scalability.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Provide training and education on compliance expectations and regulatory topics.

Qualifications p]:

pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Active FINRA Series 7 , Series 65 or 66 , and Series 24 licenses required.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> 2+ years of experience in broker/dealer and/or RIA compliance.

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pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Familiarity with FINRA and SEC rules, including supervisory and marketing standards.

p]:

pt-0 [&>p]:mb-2 [&>p]:my-0" style="box-sizing: border-box; border-style: solid; border-width: 0px; border-color: rgba(39, 26, 0, 0.14); scrollbar-color: initial; scrollbar-width: initial; margin-top: 0px; margin-bottom: 0px; padding-inline-start: 0.375em; padding-top: 0px; padding-bottom: 0px;"> Exposure to compliance systems or supervisory technology platforms is preferred. About the Organization Our organization supports financial advisers through guidance, technology, and compliance resources designed to help them serve clients effectively. We value collaboration, professionalism, and continuous improvement, and we are looking for someone who wants to make a meaningful impact as part of a growing team.