Compliance Specialist

About Gladstone Wealth Partners

Our mission to our clients is to provide a holistic approach to financial planning and a high level of service so they can prioritize and pursue their life-long financial goals. We foster professional relationships based on uncompromising integrity, trust, and personalized service.

Compliance Specialist

Job Summary

The Compliance Specialist plays an essential role in supporting Gladstone's Registered Investment Advisor (RIA) compliance and supervision framework. Working closely with the Director of Risk & Compliance and the broader Gladstone team, this individual will assist in daily monitoring activities, manage workflow queues, and help ensure that advisors and internal teams adhere to regulatory requirements and firm policies. This role is ideal for someone who is detail‑oriented, eager to grow within the compliance field, and interested in learning the regulatory landscape governing RIAs.

Primary Responsibilities

Daily Monitoring & Queue Management

• Monitor multiple supervisory and compliance queues each day to identify items requiring review or escalation.
• Track and resolve outstanding alerts, tasks, and action items; follow up with advisors and teams as needed.
• Maintain clean and organized workflow management, ensuring all items are addressed within required timeframes.

Email & Inquiry Management

• Monitor shared compliance email boxes and distribute or escalate items appropriately.
• Serve as a frontline responder for basic compliance questions while gathering information and routing complex issues to senior team members.

Compliance Operations Support

• Assist in maintaining compliance logs, records, and documentation required under SEC Rule 204‑2 (Books & Records).
• Support the preparation of routine regulatory filings and monthly/quarterly compliance deliverables.
• Participate in branch office exam preparation and administrative support for onsite/virtual reviews.

Project & Department Support

• Provide operational and administrative support for Compliance and Supervision team initiatives.
• Assist with implementation or testing of new compliance systems, technology tools, and workflow enhancements.
• Support annual policy and procedure updates by, preparing drafts, gathering stakeholder feedback, and organizing documentation.
• Contribute to tracking and monitoring vendor due diligence materials.

Training & Engagement

• Assist in onboarding new advisors or team members by providing introductory compliance guidance and resources.
• Help maintain training materials, checklists, and reference guides.

Skills & Qualifications

Required

• Strong attention to detail, ability to spot inconsistencies, and commitment to accuracy.
• Excellent written and verbal communication skills.
• Ability to manage multiple tasks in a time‑sensitive environment.
• High level of integrity, professionalism, and sound judgment.
• Proficiency with Microsoft Office applications and willingness to learn compliance systems.
• Ability to work independently while collaborating effectively with team members.

Preferred (or ability to obtain within 12-18 months)

• Experience within financial services, preferably in an RIA, broker‑dealer, or wealth‑management environment.
• Familiarity with the Investment Advisers Act of 1940

Who Will Be Successful in This Role

A strong candidate for this position enjoys investigative and detail‑oriented work, and is excited to build foundational knowledge in compliance. This role is designed to grow into more complex responsibilities as skills and develop regulatory and industry knowledge.

About Integrity

Integrity is one of the nation's leading independent distributors of life, health and wealth insurance products. With a strong insurtech focus, we embrace a broad and innovative approach to serving agents and clients alike. Integrity is driven by a singular purpose: to help people protect their life, health and wealth so they can prepare for the good days ahead.

Integrity offers you the opportunity to start a career in a family-like environment that is rewarding and cutting edge. Why? Because we put our people first! At Integrity, you can start a new career path at company you'll love, and we'll love you back. We're proud of the work we do and the culture we've built, where we celebrate your hard work and support you daily. Joining us means being part of a hyper-growth company with tons of professional opportunities for you to accelerate your career. Integrity offers our people a competitive compensation package, including benefits that make work more fun and give you and your family peace of mind.

Headquartered in Dallas, Texas, Integrity is committed to meeting Americans wherever they are - in person, over the phone or online. Integrity's employees support hundreds of thousands of independent agents who serve the needs of millions of clients nationwide. For more information, visit Integrity.com.

Integrity, LLC is an Equal Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. In addition, Integrity, LLC will provide reasonable accommodations for qualified individuals with disabilities.