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Compliance Officer

Date Posted: May 17, 2026
Yearly: USD - USD
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Job Detail

  • location_on
    Location East Saint Louis, Missouri, United States of America
  • desktop_windows
    Job Type: Permanent
  • schedule
    Shift:
  • analytics
    Career Level:
  • group
    Positions:
  • calendar_view_day
    Experience:
  • male
    Gender: No Preference
  • school
    Degree:
  • calendar_month
    Apply Before: Jun 17, 2026
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Job Description

Overview

The Compliance Officer (CO) plays a crucial role at Larson Network Services, ensuring that all advisors and associated persons adhere to federal, state, SEC, FINRA, and MSRB regulations as well as the Firm's policies. The CO is responsible for maintaining regulatory compliance, researching requirements, approving applications, and supporting audits within the organization.

Key responsibilities

  • Ensure compliance with federal, state, SEC, FINRA, and MSRB regulations
  • Research and communicate compliance requirements
  • Review and approve applications and advertising materials
  • Test policies and procedures for compliance
  • Support internal and external audits
  • May act as Designated Supervisory Principal or Subject Matter Expert

Required skills

  • Bachelor's Degree or higher
  • Series 7, Series 66(63/65), and Series 24 or Series 9/10
  • 5+ years' experience in financial services
  • Series 53, Series 27 or Series 28, and life and health insurance license (desired)
  • Professional certification such as CRCP, IACCP, CFE, CRM, or CAMS
  • Experience with private equity and variable insurance
  • Compliance program development and implementation experience
  • Strong analytical and investigative skills
  • High levels of integrity and accountability
  • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint)
  • Strong communication and conflict resolution skills
  • Attention to detail and strong organization skills
  • Ability to handle sensitive information with prudence

What the company offers

  • Profit Sharing Bonus Program
  • 401(k) with Employer Match (up to 4%)
  • Comprehensive Medical, Dental, and Vision Insurance
  • Company-paid Long-term Disability, Life Insurance, and EAP
  • Voluntary Short-term Disability and Supplemental Insurance
  • Generous PTO (112 hours after 90 days) + 12 Paid Holidays
  • Training, Development, and Educational Opportunities
  • Company Events, Recognition Awards, and Team Activities

Skills Required

Company Overview

Larson Network Services, LLC
East Saint Louis, Missouri, United States of America
0 Current Jobs Openings

Larson Network Services, LLC provides operational support services, including compliance, to network companies. The firm works with various affiliates in the financial services sector, ensuring adherence to regulatory standards and supporting interna... Read More

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