Compliance Officer

Larson Financial Group, LLC seeks a Compliance Officer to support the Legal & Regulatory Compliance department within our financial services firm focused on medical professionals. You will oversee compliance programs, monitor regulatory changes, conduct reviews, and advise leadership and Financial Advisors on SEC/FINRA and state regulations. Partnering closely with our client-centric advisory team, you will help ensure ethical practices, mitigate risk, and support compliant delivery of tailored financial strategies to clients nationwide.

Responsibilities

• Design, maintain, and enhance the firm's compliance program and policies

• Monitor SEC, FINRA, and state regulatory changes and advise leadership

• Conduct periodic compliance reviews, testing, and surveillance

• Support and oversee advisor activities and marketing material reviews

• Investigate and document client complaints and incidents

• Prepare for and support internal and external audits and regulatory exams

• Deliver compliance training and guidance to Financial Advisors and staff

• Maintain required records and reporting for regulators

• Collaborate with Legal & Regulatory Compliance and advisory teams on new initiatives

• Identify and mitigate emerging compliance and operational risks Required Skills

• Regulatory compliance (SEC/FINRA)

• Risk assessment and monitoring

• Policy development and implementation

• Compliance testing and surveillance

• Investment advisory compliance

• AML/KYC procedures

• Audit preparation and response

• Complaint and incident investigation

• Compliance training delivery

• Microsoft Excel and compliance systems