Description
The Compliance Officer (“CO”) is a key role within Larson Network Services (“LNS”). LNS provides network companies with various back-stage operational support services including Compliance. The network includes our affiliate Broker Dealer, Larson Financial Securities, LLC (“LFS”) and two Registered Investment Advisors, Larson Financial Group, LLC (“LFG”), Larson Wealth Partners, LLC (“LWP”) and Larson Capital Management, LLC (“LCM”) (collectively the “Firm”). The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm’s policies and procedures. In addition to other duties as assigned, COs help maintain regulatory compliance by researching and communicating requirements, reviewing and approving applications and advertising materials, testing policies and procedures and supporting internal and external audits. COs may be named as Designated Supervisory Principal and or Subject Matter Experts for certain Branches or areas of the Firms' Compliance Program.
Reports to: Chief Compliance Officer
Required Qualifications and Experience:
- Bachelor’s Degree or Higher
- Series 7, Series 66(63/65) and Series 24 or Series 9/10
- 5+ years’ experience in financial services
Requirements
Desired Qualifications and Competencies:
- Series 53, Series 27 or Series 28 and life and health insurance license
- Professional certification such as CRCP®, IACCP®, CFE, CRM or CAMS
- Experience with private equity, variable insurance or other complex products
- Experience developing and implementing compliance programs
- High levels of integrity, confidence, self-awareness and a sense of humor
- Team player with the ability to work with minimal supervision
- Accountable and willing to hold others accountable
- Critical thinker with strong analytical and investigative skills
- Able to easily grasp and comprehend risks
- Able to handle sensitive and confidential information with prudence and care
- Adaptable to working in a fast-paced environment
- Strong communication and conflict resolution skills
- Strong organization skills and attention to detail?
- Continuous improvement mindset
- Proficient in Microsoft Office Suite (Word, Excel, PowerPoint, etc.)
- Other duties as assigned
Why Join Larson Financial Group? We offer a competitive benefits package and an engaging work culture that supports personal and professional growth:
- 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
- Bachelor's degree or higher
- Series 7 license
- Series 66 license, or Series 63 and Series 65 licenses
- Series 24 license, or Series 9 and Series 10 licenses
- At least 5 years of experience in financial services
- Series 53 license
- Series 27 or Series 28 license
- Life and health insurance license
- Professional certification such as CRCP, IACCP, CFE, CRM, or CAMS
- Experience with private equity, variable insurance, or other complex products
- Experience developing and implementing compliance programs
- Proficiency in Microsoft Office Suite
- Strong analytical and investigative skills
- Strong communication and conflict resolution skills
- Strong organizational skills and attention to detail
What We Do
Larson Financial Holdings is a St. Louis-based financial services parent company and one-stop resource for wealth management, advisory, real estate, insurance, and specialized finance. Dedicated to its mission of 'Empowering All to Flourish,' the firm supports a network of over 200 advisors across 30 states, providing holistic financial planning and strategic advice to help high-net-worth individuals navigate complex financial landscapes and achieve long-term success.
