Compliance Supervision Specialist

About Renaissance Financial

Renaissance Financial is a comprehensive financial services firm with locations in St. Louis, Overland Park, Omaha, Phoenix, and Salt Lake City. Our Mission: Using creative business and personal planning, we help our clients achieve financial freedom… one relationship at a time. Our true team approach and entrepreneurial atmosphere set us apart from other firms in our industry. Joining our close-knit team at Renaissance Financial will inspire professional growth through numerous opportunities while creating a lasting impact on our organization and community. We support and reward our staff through team outings and industry leading benefits because we sincerely care about the well-being of our team members.

 

We are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

 

The mission of this full-time position is to support our Registered Investment Advisors (RIA). This role will support internal personnel operations within the framework of firm policies and regulatory requirements. This includes proactive monitoring, issue tracking, and communication with advisors to maintain compliance requirements to mitigate financial risks, and support a culture of transparency, trust, and ethical excellence.

 

Primary Responsibilities

• Policy & Procedures Testing: establish and test policies and procedures in accordance with SEC rule 206(4)-7.
• Email Surveillance: Review advisor email communications for compliance with firm policies, SEC/FINRA guidelines, and industry best practices. Escalate red flags or concerns as needed.
• Surveillance Monitoring: Monitor for Risk Variance, High Cash, Concentration, Low Volume Trading, and other RIA policy compliance. Communicate internally for surveillance findings, policy violations, and corrective plans. Maintain documentation of interactions.
• Issue & Escalation Tracking: Maintain a log of escalated compliance issues, timely resolution, and proper documentation.
• Disciplinary Tracking: Monitor disciplinary actions related to advisor conduct, including policy breaches, corrective plans or regulatory trainings.
• Policy Enforcement: Enforce the firm’s compliance policies and procedures. Serve as a resource to advisors for interpreting and understanding firm policies and regulatory obligations.
• Ongoing Reporting: Generate regular reports summarizing surveillance activity, trends, and resolution statuses to support the compliance department’s regulatory duties.
• Social Media Supervision: Monitor Advisor social media profiles to ensure proper connection to the supervision tool.
• Assist with branch audits and remediation of items discovered.
• Educate Effectively: Help create and present ongoing education to the firm about key findings or deficiencies with the goal of reducing flagged items on surveillance reports.

 

Essential Characteristics

• Strong analytical and investigative skills
• Excellent verbal and written communication
• Meticulous attention to detail and documentation
• Ability to manage multiple priorities in a deadline-driven environment
• Strong interpersonal skills with the ability to interact and communicate with individuals at all levels of the organization.
• Knowledge of data gathering and reporting procedures for industry compliance.
• Ability to review and analyze complex information, and then present complex material in a simple, easy to understand way.

 

Education, Training & Experience

• Bachelor’s degree in finance, business, or a related field
• 2+ years of relevant experience in the Financial Services Industry
• Understanding of client communications, account management, and regulatory filings.
• Regulatory Knowledge: Familiarity with SEC regulations applicable to RIAs, including knowledge of best interest obligations.
• Licensing: Active FINRA Series 7 and Series 63+65 or Series 66 licenses
• Experience with Compliance monitoring tools (e.g., SMARSH, Global Relay, etc.) preferred.

 

Computer Equipment and Software

• Proficiency with Microsoft Office Suite
• Salesforce (preferred)
• Orion (preferred)
• Compliance monitoring tools (preferred)
  • SMARSH
  • Global Relay

 

Working Conditions

• Business professional office environment.
• This position may exceed a 40-hour work week.
• Some Travel Required
• We are committed to providing an accessible work environment. If you need accommodations during the application or employment process, please let us know.

 

Benefits and Incentives

• Employer Paid Medical Insurance.
• Employer provided 401k contribution (up to 10% based on team member eligible compensation annually).
• Potential for Annual Variable Compensation and Bonuses.
• Employer Licensing Coverage and Growth Opportunities.