Compliance Officer
Thompson Financial Group
Baltimore, MD US
Posted ago
Thompson Financial Group

We are looking for a compliance officer who is experienced in the financial services industry to join our growing Hunt Valley-based firm. Thompson Financial Group is the Greater Baltimore MassMutual agency with 100+ advisors and multiple satellite office locations in Maryland. If you are analytical and enjoy helping others understand and follow the complex regulations that are part of the financial services landscape, then this is a great position for you. We are a firm focused on teamwork and building a culture that supports and encourages each other to reach our career goals and potential while serving the community in which we live. The compliance officer will receive a base salary of $50,000-$80,000, commensurate with experience and opportunities for bonuses and commissions. Apply today!

Responsibilities

  • Reviewing and approving marketing and social media campaigns
  • Working with advisors to ensure records, communications, and proposals follow the SEC and FINRA guidelines
  • Collaborating with the team to ensure policies and procedures are appropriate and efficient
  • Visiting advisors and satellite offices for compliance reviews

Qualifications

  • 5+ years experience in the financial services industry
  • Knowledge of securities and insurance regulations
  • Series 24 license a plus
  • Experience working as a financial advisor or planner is preferred
  • Detail oriented and analytical
  • Strong communicator who enjoys coaching and helping others

Compensation
$50,000 - $80,000 yearly plus bonus structure
About Thompson Financial Group

Thompson Financial Group is a financial services firm and a general agency of Massachusetts Mutual Life Insurance Company (MassMutual). Through comprehensive financial planning, we help our clients tackle the issues that matter, supporting them through the most important decisions of their lives. As one of the most respected financial advisory firms in Hunt Valley, our reputation thrives on our high-level of customer satisfaction. Built upon the foundation of integrity and family, our company culture fosters personal growth and independence for our advisors, while still maintaining powerful support through mentoring, teaming, and technology. We invest our time and effort into our advisors to help them achieve their professional goals. We have a longstanding history of success in the Greater Baltimore area and are actively expanding into select markets to better serve our clients.

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