Job Description

Compliance Officer – Empower Growth, Ensure Integrity

Location: Baton Rouge, LA [Remote]
Job Type: Full-time

Are you a compliance professional who believes in guiding growth rather than restricting it ? Do you thrive in a collaborative, people-first environment where your expertise shapes success? If so, we want to meet you!

Why You’ll Love This Role
This OSJ is more than a team—they are a close-knit group that values partnership, positivity, and progress . As the Compliance Officer , you’ll play a pivotal role in ensuring our advisors have the knowledge, tools, and support they need to operate ethically and effectively. This isn’t just about oversight—it’s about mentorship, innovation, and building a culture of compliance that empowers, not hinders, success.

What You’ll Be Doing
✔️ Oversee and enhance compliance programs within the firm and OSJ network.
✔️ Keep a pulse on industry regulations (FINRA, SEC) and ensure alignment with best practices.
✔️ Provide expert guidance to advisors on compliance rules, product suitability, advertising, and more.
✔️ Review new business and trade submissions to ensure adherence to regulatory policies.
✔️ Stay ahead of licensing and continuing education requirements for firm advisors.
✔️ Lead and contribute to quarterly compliance meetings and operational strategy discussions .
✔️ Partner with our advisors, staff, and broker-dealer to create a culture of integrity and continuous improvement.

What Makes You a Great Fit
✅ 10+ years of experience in compliance, risk management, or financial services.
✅ Series 7, 66, and 24 licenses (a must!).
✅ Deep knowledge of FINRA regulations, industry policies, and risk management .
✅ Strong attention to detail and the ability to navigate a fast-paced environment .
✅ A passion for collaboration, problem-solving, and advisor success .
✅ A clean FINRA and background report .

What’s In It for You?
Competitive salary based on experience
Health, dental, and vision insurance
Group life and disability coverage
401(k) with company safe harbor, profit-sharing, and cash balance plan
Ongoing professional development opportunities

This is more than just compliance—it’s about shaping a firm where integrity meets innovation. Ready to make an impact? Let’s talk!

Job Tags

Full time, Remote job,

Similar Jobs