A financial services firm is seeking a Compliance Officer to support regulatory compliance across its Registered Investment Adviser (RIA) and broker-dealer businesses. This role will focus on investment advisory compliance, regulatory filings, supervisory reviews, and branch examinations. The ideal candidate has experience supporting investment advisers, understands SEC and FINRA requirements, and can independently identify compliance risks while partnering with business and supervisory teams. RESPONSIBILITIES Investment Advisory Compliance Support the administration and ongoing enhancement of the firm's RIA compliance program.Prepare, review, and update regulatory filings, including Form ADV Parts 1, 2A, and 2B.Assist with annual compliance assessments under Investment Advisers Act Rule 206(4)-7.Provide compliance guidance to Investment Adviser Representatives (IARs) and advisory business teams.Review advisory activities, supervisory practices, and internal controls to identify potential regulatory concerns. Compliance Monitoring & Examinations Conduct risk-based compliance reviews and on-site inspections of branch offices and corporate locations.Evaluate adherence to SEC, FINRA, and applicable state regulatory requirements.Identify compliance deficiencies, document findings, and recommend corrective actions.Support regulatory examinations, information requests, and internal compliance investigations.Assist with customer complaint reviews, surveillance activities, and supervisory oversight. Policies, Procedures & Regulatory Support Review and update Written Supervisory Procedures (WSPs) and investment advisory compliance policies.Support annual regulatory certifications and compliance reporting requirements.Assist with regulatory reviews of advertising, marketing materials, and business communications.Provide guidance and training to employees on compliance obligations and regulatory developments.Collaborate with compliance leadership on process improvements and special projects. QUALIFICATIONS Bachelor's degree, preferably in Business, Finance, or a related field, or equivalent professional experience.3 5 years of compliance experience within a broker-dealer or Registered Investment Adviser environment.FINRA Series 7 license or substantial investment advisory compliance experience.Experience supporting Investment Adviser Representatives and advisory programs.Knowledge of SEC and FINRA regulations, investment advisory compliance, and supervisory requirements.Familiarity with compliance monitoring, surveillance, and regulatory examinations.Strong analytical, organizational, and problem-solving abilities.Excellent written and verbal communication skills.Ability to interpret complex regulations and explain requirements clearly to business stakeholders.Proficiency in Microsoft Word, Excel, PowerPoint, and Outlook. PREFERRED EXPERIENCE FINRA Series 24, 65, or 66 licenses.Hands-on experience preparing Form ADV filings and supporting annual RIA compliance reviews.Familiarity with Investment Advisers Act Rule 206(4)-7.Experience conducting branch inspections or supervisory testing.Knowledge of advisory program oversight, regulatory disclosures, and compliance policies.Experience supporting both RIA and broker-dealer compliance functions.Working knowledge of SQL for compliance reporting or data analysis.