About Us:
Diversify is a wealth management firm that empowers financial advisors and their clients with institutional resources and a boutique, personalized approach. The firm operates as a dually registered firm across three different entities, Diversify Advisory Services, LLC and Diversify Wealth Management, LLC and DFPG Investments, LLC. 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://diversify.com.
About the Position:
The Junior Compliance Officer supports the Chief Compliance Officer and the Senior Compliance Officers in the day-to-day administration of Diversify’s compliance program across both its registered investment adviser (RIA) and broker-dealer (BD) business lines. This is a hands-on role for someone who wants to build deep, practical fluency in SEC and FINRA rules and apply that understanding to help advisors and offices operate compliantly and efficiently. The role is split roughly evenly between RIA-side and BD-side compliance work, with general operational support to the CCO and senior compliance staff as needed.
This is a full-time, in-office position. This role reports directly to the Chief Compliance Officer as part of a compliance team and supporting the senior compliance officers. Offers direct exposure to both RIA and broker-dealer regulatory work.
Your Impact:
- Assist in review of advertising or marketing prior to use or distribution, in coordination with the senior compliance officers.
- Support daily/weekly trade blotter review and exception report follow-up (e.g., suitability flags, concentration, active trading).
- Assist in maintaining and updating Written Supervisory Procedures (WSPs) for broker-dealer activities.
- Assist in registered representative licensing, CRD/U4-U5 processing, continuing education (CE) tracking, and outside business activity (OBA) and private securities transaction (PST) review.
- Assist with branch office inspections and OSJ review cycles.
- Support the firm’s AML/BSA monitoring program, including transaction monitoring and SAR review assistance.
- Assist with amendments to Form ADV Parts 1, 2A, and 2B.
- Help administer the firm’s Code of Ethics, including personal securities transaction reporting, and gifts and entertainment logs.
- Support the annual compliance program review required under Advisers Act Rule 206(4)-7.
- Assist the CCO with regulatory correspondence, inquiries, and exam preparation (SEC, FINRA, and state regulators).
- Maintain the compliance calendar and regulatory filing deadline tracker.
- Support electronic communication surveillance, including archiving and lexicon-based review.
- Respond to day-to-day compliance questions from field offices and advisors, escalating to the CCO as appropriate.
- Coordinate compliance training for registered representatives and investment advisor representatives.
Who You Are:
- Series 7 and Series 66 required.
- Bachelor’s degree preferred.
- Strong relationship building skills is a must.
- Prior experience in a compliance, brokerage operations, or registered investment adviser support role is preferred; candidates early in their compliance career with strong aptitude and attention to detail are encouraged to apply.
- Working knowledge of, or strong willingness to develop deep fluency in, SEC and FINRA rules applicable to dual-registered firms.
- High attention to detail and comfort researching and interpreting regulatory requirements independently rather than working from routine checklists.
- Strong written and verbal communication skills; able to explain compliance requirements clearly to non-compliance staff.
- Proficiency in Microsoft Office; experience with compliance systems (e.g., a CRM-integrated surveillance tool, e-communication archiving platform, or trade monitoring system) is a plus.
- Ability to exercise sound judgment and maintain confidentiality with sensitive regulatory and client information.
Your Toolkit:
- Working knowledge of, or strong willingness to develop deep fluency in, SEC and FINRA rules applicable to dual-registered firms.
- High attention to detail and comfort researching and interpreting regulatory requirements independently rather than working from routine checklists.
- Strong written and verbal communication skills; able to explain compliance requirements clearly to non-compliance staff.
- Proficiency in Microsoft Office; experience with compliance systems (e.g., a CRM-integrated surveillance tool, e-communication archiving platform, or trade monitoring system) is a plus.
- Ability to exercise sound judgment and maintain confidentiality with sensitive regulatory and client information.
Benefits:
- Core Benefits: Medical with HSA and FSA options, dental, and vision.
- Prepare for Your Future: 401(k) with a generous company match.
- Great Team Culture: Tight-knit team where your contribution carries real weight.
- Generous Time Off: 4 weeks PTO, 12 paid holidays, and 2 paid volunteer days. We prioritize family, community impact, and genuine work-life balance.
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 is An Equal Opportunity Employer-M/F/D/V