Compliance Officer

Diversify Advisor Network

Location: Sandy, UT

About Us

Diversify Advisor Network is the future of wealth management. Founded by seasoned advisors and industry leaders, Diversify has developed institutional-grade resources, complemented by the personal attention and support that defines a true partnership.

We strive to cultivate a family-like culture, an institutional platform and an immersive experience that enables advisors and wealth management firms to differentiate themselves, retain their entrepreneurial autonomy, and, most importantly, protect and serve clients effectively.

Learn more about us at https://joindiversify.com.

About the Position:

This position plays a pivotal role on our compliance team, and we are looking for a qualified individual with experience in supervision and/or investment advisory compliance. This is a fast-paced role that requires absolute attention to detail and critical thinking skills to evaluate and resolve complex issues. This position offers significant opportunities for career development and growth within the company. This is a full-time, in-office role located in our headquarters in Sandy, Utah.

Your Impact:

You are a solutions-oriented professional that builds strong working relationships with the advisors and business partners.

You possess exceptional communication skills that emphasize finding solutions even in difficult situations.

You are an initiative-taker who thrives in a fast-paced environment.

You are a detail-oriented individual who possesses a track record of work efficiency and has strong time management skills.

You have a deep understanding of the role of compliance and/or supervision at a broker-dealer and/or a registered investment adviser.

You understand how successful advisers manage their business and desire to be their partner to in their business growth.

You have previous experience with compliance or supervisory related responsibilities, such as advertising review, email review, portfolio management oversight, transaction and suitability monitoring as well as Code of Ethics monitoring.

Who You Are:

Must have 5+ years of Compliance or Supervision experience in a broker-dealer (BD) or a registered investment adviser (RIA)

Comprehensive knowledge of alternative investments

Experience with an independent wealth management platform is a plus

Your Toolkit:

Exceptional organization and communication skills

Superior problem-solving skills and ability to convey confidence in your work

Strong understanding of products and services offered at a broker-dealer

Strong understanding of the various types of advisory services offered by a registered investment adviser

FINRA Series 7, 63, 65 (or equivalent) and 24 Preferred Investment Adviser Certified Compliance Professional IACCP® a plus

Benefits:

Core Benefits - Medical with HSA and FSA options, dental, and vision.

Preparing for Your Future - 401(k) with a generous company match, access to a personal financial planner, and unique investment options.

Great Team Culture - Team members consistently rave about having great colleagues.

Time Off - We value family, giving back, making a positive impact in society, and creating time to enjoy life. You will enjoy 4 weeks paid time off, 12 paid holidays, and 2 days for giving back.


Join Us Now!

If you are ready to fast-track your career, make meaningful connections, and embark on a thrilling journey, apply now! We demonstrate and act with complete and unconditional honesty and adhering to principles of sound ethics. After accepting an offer of employment, all candidates will go through a pre-employment background check, credit check, and pre-employment drug screen. Diversify Advisor Network is An Equal Opportunity Employer--M/F/D/V