Compliance Specialist

World Insurance Associates, LLC.Santa Barbara, CA

$75,000 - $90,000 / year

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Job Description

Position Objective, Typical Duties and ResponsibilitiesWe’re currently seeking a Compliance Specialist to support the firm’s Compliance Program. You will report to Manager-Compliance Operations

Develop and manage a Compliance Department activity reporting system.
Represent the compliance department in resolving issues involving new accounts set up with Operations and Accounting departments.
Monitor general department email inboxes and/or department ticketing system reports to assure timely response or escalation if necessary to inquiries and information received.
Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
Assist management and other compliance personnel with the completion of various projects and testing.
Other duties as assigned.

Position Requirements

Bachelor’s degree (B.A./B.S.) in a related discipline required. Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments.,
Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire).
Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate.
A deep understanding of industry rules governing supervision, suitability, and registrations.
Excellent technology and communication skills
Ability to work independently to manage time and prioritize tasks efficiently.
Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.
The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.

Preference Given to Candidates with the Following Qualifications:

Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02.
Already hold a Life, Health, & Variable Annuity license.

Compensation The salary for this position generally ranges between $75,000-90,000. This range is an estimate, based on candidate qualifications and operational needs. The firm also has a bonus program. Perks & Benefits

401(k) with Employer Match
Health Insurance (with HSA option)
Dental Insurance

Perks & Benefits (continued)

Vision Insurance
Life Insurance
Flexible Paid Time Off Policy
Flexible Spending Account (FSA)
Healthy Work/Life Balance
Maternity/Paternity Leave Policy
Remote Work Opportunity

About World Investment AdvisorsAs part of World Insurance Associates, LLC World Investment Advisors is a nationally recognized financial services firm dedicated to providing the industry’s premier wealth management and retirement plan investment advisory services to individuals, high net worth families and employers. Stimulating EnvironmentAt World Investment Advisors, we strive to provide a challenging, stimulating environment for the best and brightest in the industry. We believe our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where professional growth is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved. We promote a friendly and collaborative work environment. We are motivated by team camaraderie and are obsessed with doing the right thing for our plan sponsor clients and their plan participants. Team-OrientedProfessionals typically work together in teams with multiple people from different departments to meet our clients’ needs. Our junior staff works with their team members to develop the skills and knowledge to succeed and assume more senior level positions as they progress at our firm. We welcome team members from different backgrounds with different perspectives to help us innovate and make a difference for our customers and our communities. Why World?

Great company culture with an awesome team-oriented atmosphere!
Mentorship Opportunities
Ability to serve on different internal steering committees (Charitable Giving, DEI, Social, etc.)
Professional growth opportunities
Friendly and collaborative work environment
Employee perks including fun team building opportunities, yoga/wellness, charitable giving/volunteering

World Investment Advisors is an equal opportunity employer. We believe the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging. World is committed to equality and deeply believes in diversity in sexual orientation, gender, race, religion, ethnicity and other qualities that makes us all different.To Executive Search Firms and Staffing Agencies:World does not accept unsolicited resumes from any agencies that have not signed a mutual service agreement. All unsolicited resumes will be considered World’s property, and World will not be obligated to pay a referral fee. This includes resumes submitted directly to Hiring Managers without contacting World’s Human Resources Talent Department. #LI-GP1#LI-REMOTE

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