Compliance Principal

Compliance Principal — Series 24 Required Silver Oak Securities | Knoxville, TN (Remote Considered) $85,000 – $115,000 Benefits

Silver Oak Securities is a FINRA-registered broker-dealer and SEC-registered RIA headquartered in Tennessee, supporting approximately 200 independent financial professionals and $5 billion in client assets. We're at an intentional growth stage — and we're building the compliance infrastructure to match.

This role is for someone who wants to own something.

You won't be executing someone else's program. You'll work directly with our CCO as a principal-level contributor to how this firm supervises, examines, and protects its advisors and their clients. If you're looking for a place where compliance has a real seat at the table, this is it.

Responsibilities

• Daily trade review and exception report analysis
• Advertising and marketing review — retail communications, social media, correspondence
• Conducting branch examinations across our advisor network
• Annual WSP review, maintenance, and gap analysis
• Ongoing compliance guidance and support for financial professionals

Required

• Active Series 7 and Series 24 in good standing
• Series 66 or Series 63/65 combination
• Working knowledge of FINRA rules, SEC regulations, and dual-registrant BD/RIA compliance obligations
• Financial services background — compliance, operations, supervision, trading, or advisory — with a genuine commitment to building a compliance career

Preferred

• Hands-on experience in BD supervision, trade review, or branch examination
• Series 4 (Registered Options Principal)
• RIA compliance experience alongside BD supervision
• Familiarity with Smarsh, Global Relay, RegEd, or similar platforms
• Background at an independent BD or hybrid RIA

Location Knoxville, TN area strongly preferred. Remote candidates with directly relevant experience will be considered — fit and capability matter more than zip code.

What We Offer

• A compliance role with real authority, not just responsibility
• Direct access to firm leadership in a non-bureaucratic environment
• A firm that treats compliance as a business function, not a cost center
• Room to grow — this role expands as Silver Oak expands

Who Should Apply You may be a seasoned compliance professional ready for a firm where your work actually matters — or you may be someone inside financial services who knows the industry, holds the licenses, and is ready to make compliance your career. Either way, you communicate clearly, follow through without being reminded, and understand that this role is ultimately about protecting advisors and their clients.

We run on EOS and hold ourselves to five values: be a good human, work hard and smart, follow through, put the team first, and do the right thing. If that's already how you operate, you'll fit here.