Compliance Specialist

Allworth Financial(2 days ago)

Dallas, TXOnsiteFull TimeSenior$70,000 - $90,000Compliance

About this role

The Compliance Specialist at Allworth Financial supports the administration of the firm's compliance program for SEC and FINRA regulated activities. The role involves reviewing regulations, assisting with filings, and helping ensure adherence to industry standards within a client-focused financial advisory environment.

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Required Skills

FINRA
SEC
Regulatory Filings
Compliance
Investment Advisor
Broker Dealer
GIPS
EDGAR
SEC Forms
Industry Regulations

Qualifications

Bachelor’s degree in a related discipline
Series 7, 24, 63, and 65 or 66 licenses

About Allworth Financial

allworthfinancial.com

Allworth Financial is a Registered Investment Adviser that provides customized, comprehensive financial planning and wealth management for individuals, families, and business owners. They deliver investment management, retirement planning, tax-aware strategies, estate planning, and ongoing financial guidance through a team of fiduciary, fee-based advisors. Allworth emphasizes tailored plans and long-term relationships, coordinating investments, taxes, and life goals to help clients pursue financial confidence.

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