Securities Compliance Principal

World Insurance Associates LLC

Securities Compliance Principal responsible for compliance with securities laws and internal policies in a remote role. Involves review, approval, and guidance related to investment accounts and advertising materials.

Posted 5/12/2026full-timeRemote • 🇺🇸 United StatesLead💰 $70,000 - $90,000 per yearWebsite

About the role

Key responsibilities & impact

Review and approve new investment accounts
Review and approve advertising and marketing materials as necessary
Review email and correspondence as necessary
Conduct branch examinations as assigned
Provide 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.
Support the Broker-dealer and RIA Chief Compliance Officers on projects as assigned.
Assist management and other compliance personnel with the completion of various projects and testing.
Other duties as assigned.

Requirements

What you’ll need

Bachelor’s degree (B.A./B.S.) in a related discipline required.
Minimum five (5) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments.
Series 7, 24 (or 26), 65 (or 66), Series 53 (or 51)
Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework 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 efficiently.
Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.
The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.
Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02 (preference).
Life, Health, & Variable Annuity license (preference).
Experience with the Pershing Brokerage platform as well as audits and exams (preference).

Benefits

Comp & perks

401(k) with Employer Match
Health Insurance (with HSA option)
Dental Insurance
Vision Insurance
Life Insurance
Generous Time Off Policy
Paid Mental Health Days
Flexible Spending Account (FSA)
Healthy Work/Life Balance
Maternity/Paternity Leave Policy
Remote Work Opportunity

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Compliance experienceRegulatory experienceInvestment advisory knowledgeBrokerage knowledgeReg-BI understandingPTE 2020-02 understandingAudits experienceExaminations experienceProject managementBusiness process knowledge

Soft Skills

Communication skillsTime managementPrioritizationSelf-starterDecision makingTeam playerProcess improvementMotivationIndependenceCooperation

Certifications

Bachelor’s degreeSeries 7Series 24Series 26Series 65Series 66Series 53Series 51Life licenseHealth license