Compliance Specialist, External Reps

Ultimus Fund Solutions

. Assist with implementation and execution of the Broker-Dealer compliance program .

Posted 9/17/2026full-timeRemote • United StatesJuniorMid-LevelWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Broker-Dealer compliance programs, including regulatory requirements and internal audits, while effectively managing client inquiries and operational tasks. Proficient in compliance reviews and vendor due diligence within the financial industry.

Highest-signal resume keywords

Broker-Dealer ComplianceFINRA Series 6FINRA Series 26Securities Rules KnowledgeCompliance Review

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Program ImplementationAnti-Money Laundering MonitoringBusiness Continuity PlanningRegulatory AuditsOperations Role Experience

Soft Skills

Issue ResolutionTeam CollaborationClient Communication

Tools & Technologies

Microsoft Office SuiteAdobe Acrobat

Certifications & Qualifications

FINRA Series 7FINRA Series 24

Industry Keywords

Financial IndustryRegistered Representative SupervisionDue Diligence ReviewsInternal AuditsVendor Agreements

About the role

Key responsibilities & impact

Assist with implementation and execution of the Broker-Dealer compliance program
Support internal and external registered representative supervision
Perform compliance reviews according to firm policy and regulatory requirements
Review registered representative registration and supervision, anti-money laundering monitoring, and business continuity tasks
Travel for off-site client office exams as needed
Conduct website and internet reviews
Assist with departmental projects, including annual due diligence reviews of vendors, agreements, clients, and products
Assist with regulatory, internal, and third-party audits of Broker-Dealer compliance programs
Answer client and internal inquiries and help resolve issues
Follow up on inquiries and open workflows with team members and internal teams
Perform other duties as required and assigned

Requirements

What you’ll need

Bachelor’s degree in business administration, finance, accounting, or related field
2+ years of experience in the financial industry
Experience working in an operations or compliance role
FINRA Series 6 and Series 26
FINRA Series 7, Series 24, or ability to obtain within 12 months
Knowledge of securities rules and regulatory requirements
Knowledge of Microsoft Office Suite
Knowledge of Adobe Acrobat
Equivalent education and experience will be considered

Benefits

Comp & perks

Remote or virtual work arrangement
May travel for off-site client office exams