Compliance Officer

The Compliance Officer at Larson Network Services ensures that advisors and associated persons adhere to federal, state, SEC, FINRA, and MSRB regulations, as well as the Firm's internal policies. The role involves researching regulatory requirements, reviewing applications and advertising materials, testing procedures, and supporting internal and external audits. This position may also include serving as a Designated Supervisory Principal or Subject Matter Expert for specific branches or areas of the compliance program.