Job Description

Job Description

Position Title: **** Compliance Principal, The Leaders Group

Reports to: Compliance Manager

Department: Compliance ****

Location: Littleton, CO; hybrid/remote position

Classification: Full-time, Exempt

Summary / Job Objective:

As a Compliance Principal for The Leaders Group, a Simplicity Company, the role will involve working with designated supervisors, financial professionals, back office staff and the occasional outside vendors. This individual should have industry knowledge and an eagerness to learn more compliance responsibilities of a Broker Dealer.

Primary Responsibilities:

· Review communication through 3rd party vendor correspondence and escalate issues

· Perform independent projects for the Compliance Manger as needed

· Provide back-up support to Compliance Department Team as needed

· Manage the completion of numerous regular (monthly, quarterly and annual) compliance department tasks

· Review and accept or decline Outside Business Activity submissions

· Review and approve social media/ company websites for compliance with applicable laws, regulations, and internal policies.

· Monitor and review business transactions for suitability, fraud, and/or other questionable behavior

· Research and respond to comments and / or inquiries regarding advertising

· Create new and manage existing spreadsheets, reports, dashboards, using Excel and sales force reporting tools

· Duties, responsibilities, and activities may change or new ones may be assigned at any time with or without notice

Qualifications:

· Bachelor’s degree in a related field or the equivalent combination of education and/or related experience

· Currently hold either a Series 6 or Series 7

· Advanced Microsoft Excel skills (i.e., macros, pivot tables, etc.)

· Ability to work alone without major guidance as well as a strong team player

· Good customer service skills; involves interaction with internal and external individuals

· Attain series 26 or 24 within six months

Core Competencies:

· High energy and enthusiasm, with a strong commitment to exceeding my expectations

· Flexibility and openness to work on a variety of assignments

· Ability to learn quickly, make an immediate impact, and provide value-added services

· Confidence in professional aptitude and ability to effectively convey skills and knowledge

· Outstanding organizational, time management and follow-up skills to effectively plan and take tasks to completion within specified time frames

· Takes responsibility for errors and applies new knowledge to next situation

**Compensation & Benefits: **

Compensation (based on experience)

• Base salary: $65,000 - $75,000
• This is an Exempt position
• Annual performance bonus target: 7%

Benefits

• Employee benefits (medical, dental, vision, life insurance, other)
• 401k with employer match
• Paid Time Off

Location : 26 W. Dry Creek Cir., Suite 800 Littleton, CO 80120

• This role can be hybrid, with in-office and remote work locations
• This role can be full remote, for the right candidate

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.

Through its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,100 employees and 70 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.

For more information, please visit simplicitygroup.com.

Company Description

Headquartered in Summit, New Jersey, Simplicity Financial Marketing Group Holdings (“Simplicity Group”) is a financial holding company in the independent financial services sector that specializes in the distribution of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker-Dealer, partners with insurance and investment professionals to help provide consumers with guaranteed income and life insurance products, wealth accumulation strategies, disability, and long-term care protection in support of a holistic financial strategy.\r\n\r\nThrough its vast distribution network of insurance, wealth, and institutional channels, Simplicity Group has assisted with the placement of more than $10 billion of insurance assets and has $10 billion of assets under management and advisement as of Q4 2024. Simplicity Group is a fast-growing business, focused on organic growth initiatives to help its distribution partners expand their businesses. Simplicity Group has over 1,100 employees and 70 operating subsidiaries. Simplicity Group is owned by two of the leading San Francisco-based financial and tech-enabled services private equity firms and by its operating Partners, who help drive the company’s day-to-day business.\r\n\r\nFor more information, please visit simplicitygroup.com.