Job Description
Compliance Officer – Empower Growth, Ensure Integrity Location: Baton Rouge, LA [Remote]
Job Type: Full-time
Are you a compliance professional who believes in
guiding growth rather than restricting it ? Do you thrive in a
collaborative, people-first environment where your expertise shapes success? If so, we want to meet you!
Why You’ll Love This Role This OSJ is more than a team—they are a close-knit group that values
partnership, positivity, and progress . As the
Compliance Officer , you’ll play a pivotal role in ensuring our advisors have the knowledge, tools, and support they need to operate ethically and effectively. This isn’t just about oversight—it’s about
mentorship, innovation, and building a culture of compliance that empowers, not hinders, success. What You’ll Be Doing ✔️ Oversee and enhance
compliance programs within the firm and OSJ network.
✔️ Keep a pulse on
industry regulations (FINRA, SEC) and ensure alignment with best practices.
✔️ Provide
expert guidance to advisors on compliance rules, product suitability, advertising, and more.
✔️ Review
new business and trade submissions to ensure adherence to regulatory policies.
✔️ Stay ahead of licensing and
continuing education requirements for firm advisors.
✔️ Lead and contribute to
quarterly compliance meetings and operational strategy discussions .
✔️ Partner with our
advisors, staff, and broker-dealer to create a culture of integrity and continuous improvement.
What Makes You a Great Fit ✅
10+ years of experience in compliance, risk management, or financial services.
✅
Series 7, 66, and 24 licenses (a must!).
✅ Deep knowledge of
FINRA regulations, industry policies, and risk management .
✅ Strong attention to detail and the ability to
navigate a fast-paced environment .
✅ A passion for
collaboration, problem-solving, and advisor success .
✅ A clean
FINRA and background report .
What’s In It for You? Competitive salary based on experience
Health, dental, and vision insurance
Group life and disability coverage
401(k) with
company safe harbor, profit-sharing, and cash balance plan Ongoing
professional development opportunities
This is more than just compliance—it’s about shaping a firm where integrity meets innovation. Ready to make an impact?
Let’s talk!
Job Tags
Full time, Remote work,