The Compliance Officer will oversee daily operations in the compliance department, drive improvements, and ensure the adoption of compliance programs within Horizon Advisor Network. Reporting to the Chief Compliance Officer, the role will maintain compliance standards, communicate progress, and enforce sound practices across the firm.
Key duties include supervising branch activities, applying industry knowledge, managing systems, and mitigating risks. The Compliance Officer will collaborate with teams, meet deadlines, and work both independently and as part of a team. They will ensure alignment with broker-dealer policies, working closely with the OSJ. Strong collaboration with advisors, staff, and the broker-dealer is essential to maintain effective and evolving compliance efforts.
WHY JOIN US?
We are a small yet mighty team that prioritizes supporting each other and our advisors with positivity and a spirit of helpfulness. This role is ideal for someone who:
• Thrives in an environment where collaboration is key
• Enjoys balancing people-focused leadership with strong compliance expertise
• Values autonomy, trust, and working with a team that prioritizes advisor success
If you want to leverage your experience in helping others succeed and believe compliance should enable rather than restrict growth, we’d be interested in talking with you.
• Bachelor’s degree
• 10 years of experience in compliance, risk management, or a related financial services role
• Series 7, 66 and 24 licenses
• Strong knowledge of financial regulations
• Clean FINRA and Background Reports
• Strong attention to detail and ability to work independently
• Ability to work in fast paced environment
• 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
• Professional development opportunities
How to Apply:
Interested candidates shouldsubmit their resume and cover letter to Brooke Gautreau: brooke@horizonfg.comPlease include “Compliance Officer Application – [Your Name]” in the subjectline.
• Manage and track OSJ compliance programs and policies to meet regulatory requirements
• Stay up to date with BD compliance processes & procedures; Collaborate with BD
• Detailed working knowledge of all FINRA rules and regulations including but not limited to advertising, sales literature, correspondence and educational material rules and regulations, product types and suitability guidelines
• Ensure all licensing and CE requirements for firm advisors
• Review of New Business and Trades submitted by advisors
• Provide advice and guidance to firm’s advisors regarding applicable securities rules, regulations, and firm policies
• Participate in and provide content for quarterly operations and compliance calls