Compliance Officier

Job Description

Job Description

Benefits :

401(k)

Bonus based on performance

Company parties

Dental insurance

Free food & snacks

Health insurance

Opportunity for advancement

Paid time off

Parental leave

Profit sharing

Vision insurance

We are a leading Self-Directed IRA custodian committed to delivering exceptional client service while maintaining the highest compliance standards. We empower investors to diversify their retirement accounts into real estate, private placements, precious metals, and more all within IRS guidelines.

Position Overview :

We are seeking an experienced Compliance Officer to oversee our compliance program, ensure transaction and marketing accuracy, coordinate with IT and banking partners on fraud prevention, and maintain adherence to all applicable laws and regulations.

Key Responsibilities :

• Oversee escheatment processes and ensure compliance with state unclaimed property laws.
• Conduct audit reviews of applications, Roth conversions, distributions, and asset purchases.
• Verify transaction documentation and maintain a centralized compliance repository .
• Collaborate with IT and banking partners to detect and address fraudulent activity or red flags.
• Approve advertisements and verify website accuracy to meet industry regulations.
• Maintain and update compliance forms, policies, and procedures.
• Support responses to legal subpoenas, audits, and regulatory requests.

Qualifications :

• 3+ years of compliance or audit experience in financial services, banking, or SDIRAs .
• Knowledge of self-directed IRA regulations , fraud prevention, and advertising compliance.
• Strong attention to detail, organization, and analytical skills.
• Excellent communication skills for cross-department coordination.

Why Join Us :

• Play a key role in safeguarding client assets and company reputation.
• Collaborative, mission-driven team environment.
• Opportunities for professional growth in the retirement and alternative investment space.

Flexible work from home options available.