Securities Compliance Principal

Job Summary

The Securities Compliance Principal is responsible for ensuring the firm’s adherence to all applicable securities laws, regulations and internal policies. This role will be responsible for review and approval of new accounts, assist with advertising review, conduct branch examinations and assist in investigations into compliance issues, respond to inquiries from branches and advisors on matters related to compliance. This role reports to the Director-Compliance Operations.

Key Responsibilities

• Review and approve new investment accounts
• Review and approve advertising and marketing materials as necessary
• Review email and correspondence as necessary
• Conduct branch examinations as assigned
• Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
• Support the Broker-dealer and RIA Chief Compliance Officers on projects as assigned.
• Assist management and other compliance personnel with the completion of various projects and testing.
• Other duties as assigned.
  
  

Position Requirements

• Bachelor’s degree (B.A./B.S.) in a related discipline required. Minimum five (5) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments.,
• Series 7, 24 (or 26), 65 (or 66), Series 53 (or 51)
• Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate.
• A deep understanding of industry rules governing supervision, suitability, and registrations.
• Excellent technology and communication skills
• Ability to work independently to manage time and prioritize tasks efficiently.
• Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.
• The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.
  
  

Preference Given To Candidates With The Following Qualifications

• Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02.
• Life, Health, & Variable Annuity license.
• Experience with the Pershing Brokerage platform as well as audits and exams
  
  

Compensation

The salary for this position generally ranges between $70,000-90,000. This range is an estimate, based on candidate qualifications and operational needs. The firm also has a bonus program.

Perks & Benefits

• 401(k) with Employer Match
• Health Insurance (with HSA option)
• Dental Insurance
  
  

Perks & Benefits (continued)

• Vision Insurance
• Life Insurance
• Genrous Time Off Policy
• Paid Mental Health Days
• Flexible Spending Account (FSA)
• Healthy Work/Life Balance
• Maternity/Paternity Leave Policy
• Remote Work Opportunity
  
  

About World Investment Advisors

World Investment Advisors is a nationally recognized financial services firm dedicated to providing the industry’s premier independent retirement plan and investment advisory services to employers, executives, and individual investors. Collectively, World supports approximately $55B in client assets1 through more than 130 offices and 500 team members.*

Stimulating Environment

At World, we strive to provide a challenging, stimulating environment for the best and brightest in the industry. We believe our employees can best serve our clients and advisors in an atmosphere where individuals are treated fairly, where professional growth is fostered and encouraged, and where a healthy balance between work and home life is respected and preserved. We promote a friendly and collaborative work environment. We are motivated by team camaraderie and are obsessed with doing the right thing for our plan sponsor clients and their plan participants.

Team-Oriented

Professionals typically work together in teams with multiple people from different departments to meet our clients’ needs. Junior staff work with their team members to develop the skills and knowledge to succeed and assume more senior level positions as they progress at our firm. We welcome team members from different backgrounds with different perspectives to help us innovate and make a difference for our customers and our communities.

Why World?

• Great company culture with an awesome team-oriented atmosphere!
• Mentorship Opportunities
• Ability to serve on different internal steering committees (Charitable Giving, DEI, Social, etc.)
• Professional growth opportunities
• Friendly and collaborative work environment
• Employee perks including fun team building opportunities, yoga/wellness, charitable giving/volunteering
  
  

World Investment Advisors is an equal opportunity employer. We believe the most effective way to attract, develop and retain a diverse workforce is to build an enduring culture of inclusion and belonging. World is committed to equality and deeply believes in diversity, sexual orientation, gender, race, religion, ethnicity and other qualities that makes us all different.

• As of 12/31/2025, the World Investment Advisors network of advisors and firms collectively provides support to over $70 billion in assets across a variety of channels including investment management and retirement plan consulting services. This includes regulatory assets under management (AUM) of over $24.5 billion.