Senior Compliance Associate | Hybrid

LHH Recruitment Solutions (pka Parker+Lynch) is partnering with a growing, privately held wealth management and financial services organization to identify a Senior Compliance Associate. This is a newly created role due to growth and will join an established, experienced compliance team supporting a hybrid RIA / broker?dealer environment while reporting to the Chief Compliance Officer. This role focuses on advertising and communications compliance, regulatory reviews, and the practical application of FINRA and SEC rules across advisor practices. The ideal candidate brings industry experience, sound judgment, and the ability to independently review, approve, and escalate items as needed. Responsibilities Review and approve firm and advisor marketing and advertising materials in accordance with FINRA, SEC, and state regulations Serve as an approval authority for advisor communications, including websites, email campaigns, social media, seminar materials, and firm?level initiatives Conduct compliance reviews using industry compliance and surveillance platforms; generate and analyze reports to support regulatory oversight Provide detail?oriented guidance to advisors related to disclosure language and regulatory requirements Support additional principal?level compliance reviews and approvals as assigned Assist with regulatory filings and reporting, including 13F filings and Form N?PX on required schedules Participate in process improvement efforts related to compliance systems, workflows, and documentation Collaborate with the Chief Compliance Officer and senior compliance leadership on escalations and complex matters Qualifications Active FINRA, Series 7, Series 24, Series 65, 66, CFP and/or IACCP required Prior experience in the securities or wealth management industry required Experience reviewing advertising and marketing materials preferred Strong analytical skills, technical aptitude, and sound judgment Ability to work independently while knowing when escalation is appropriate Benefits Employer?paid health insurance (medical, dental, vision, life, disability) Discretionary profit?sharing contribution to 401(k) Discretionary year?end bonus 401(k) with 1:1 match up to 5% Education, exam, and certification reimbursement (Series exams, CFP, CIMA, conferences) Hybrid work schedule Onsite gym, caf, and onsite childcare If you are interested in this job or other Accounting and Finance career opportunities from LHH Recruitment Solutions (pka Parker + Lynch), please email Kyle Cheverko at kyle.cheverko@lhh.com, or visit our website at www.lhh.com Equal Opportunity Employer/Veterans/Disabled To read our Candidate Privacy Information Statement, which explains how we will use your information, please visit www.lhh.com. The Company will consider qualified applicants with arrest and conviction records.