Compliance Officer

Compliance Officer

Location: Ballwin, MO
Type: Direct Placement
Pay: 75000.00 - 85000.00 USD per Year

Our client, a growing wealth management firm in West County, is seeking an experience Compliance Officer to manage the compliance program for their registered investment advisor and broker-dealer office of supervisory jurisdiction.


This client provides 100% paid medical, vision, dental, profit sharing and a career path to develop into the Chief Compliance Officer! The team you would be joining is comprised of passionate, forward-thinking professionals who don't like to be micromanaged, have a voice in the companies decision-making and work directly with the owners.


What you will be doing:

  • Develop, maintain, and execute an effective and comprehensive compliance program designed to ensure the firm’s supervision and controls meet regulatory requirements and industry best practices
  • Understand how policies and procedures work across complex processes and organizational arrangements across multiple business lines
  • Act as appointed SEC, FINRA, and insurance regulatory liaison, manage regulatory audits and exams
  • Prepare and file required regulatory filings
  • Maintain a thorough understanding of securities laws and regulations that pertain to the clients services and operations
  • Proactively collaborate with other departments as needed to ensure compliance issues are addressed, investigated, and resolved
  • Provide review of advertising, sales literature, and marketing materials based on SEC and FINRA rules and regulations
  • Adhere to all company policies and procedures and perform business functions with focus on consistency, quality, and compliance
  • Demonstrate experience in taking a proactive role in all stages of compliance processes
  • Prepare assessments of compliance and internal controls of policies and procedures


What you will need:

  • Minimum of a bachelor’s degree (B.A.) from four-year College or University
  • 5-years of direct compliance experience with SEC-registered investment advisor
  • Strong background with Investment Advisers Act of 1940
  • Experience with the current and proposed regulatory environment
  • Passion for helping team members, advisors, and clients
  • Ability to maintain confidentiality; demonstrate integrity, and code of ethics
  • Excellent judgment and the ability to make clear, rational, and timely decisions

PEG Staffing & Recruiting: 

PEG™ Staffing & Recruiting, Inc. (PEG) is a certified woman-owned full-service staffing agency headquartered in St. Louis, Missouri. For decades, PEG has been a leader in the fields of technology, engineering, office administrative, manufacturing and distribution recruiting, successfully connecting Fortune 500 businesses to superior, advanced talent. 

PEG is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, pregnancy, sexual orientation, gender identity, national origin, age, protected veteran status, or disability status. 

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