Senior Compliance Associate | Hybrid
LHH, Sheridan, IN, United States
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
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%
Onsite gym, café, 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.
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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
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%
Onsite gym, café, 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.
#J-18808-Ljbffr