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Compliance Officer
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Full-time
- PWA expects all team members to be respectful of each other and strive to make collaboration and cooperation among members of the firm a cornerstone of our culture and success.
- As a Compliance Officer of Provenance Wealth Advisors, you will utilize specialized knowledge and skills obtained through experience and/or training to assist with the overall compliance of our RIA, Provenance Wealth Advisors and Broker/Dealer, PWA Securities.
- The Compliance Officer will recommend compliance solutions to moderately complex problems and escalate to management any issues outside your area of expertise.
- Coordinate with Compliance Manager and CCO any department-related matters that need discussing or researching.
- 3-7 years’ experience in financial services, with at least 2 being in Broker/Dealer or RIA Compliance.
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