We love finance, software, and (believe it or not), taxes – that’s why we love what we do! At Avantax, we celebrate our diverse experience and unique contributions and use our combined knowledge to blaze new trails in tax-focused investing. As individuals, we contribute valuable insight from our career history to achieve the Avantax mission. As a team, we work together to make a real impact and have a lot of fun along the way. Our collaborative work features decades of expertise in wealth management. We bring our unique experiences together to form the heart of Avantax - working in unison toward the goal of creating services that make it easy for clients and professionals to pursue their financial and business goals. At Avantax, we are committed as a company and individuals to the diversity, equity and inclusion of our clients, team members and the communities in which we work. Are you an innovative problem-solver who's eager to take on new challenges, collaborate with diverse team members and achieve excellence? If so, life at Avantax may be the opportunity for you. Position Summary Avantax is seeking a Compliance Consultant I (Compliance Services Team) who will be responsible for performing a key role in the oversight of Financial Advisors and employees, with a primary focus on overseeing and monitoring activities for compliance with the various state, FINRA, and federal securities rules and regulations. Primary duties include advertising review and correspondence/email/social media reviews. The Compliance Consultant will function as the front line to answer compliance and supervision questions that come in via phone, email, and our internal system from Advisors, Assistants, and internal team members. Questions could relate to all areas of the compliance group. Essential Duties & Responsibilities The major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily. Reasonable accommodation may be made to enable individuals with disabilities to perform essential functions. Review and approve correspondence, sales literature, and advertising materials to ensure they meet applicable FINRA standards. Effectively communicate with advisors and internal staff regarding advertising submissions and educate them accordingly. Conduct regulatory branch office inspections to ensure compliance with record-keeping regulations and written supervisory procedures. Review and approve Financial Advisor and employee outside business activities and outside accounts. Review U4 applicants’ background information, OBAs, and licensing paperwork, and evaluate and approve Form U4 for new Advisors. Address compliance-related questions and inquiries (phone and electronic) from advisors and internal staff. Identify opportunities for improvement in the firm's processes/procedures and make recommendations for changes. Contribute to the development, implementation, and communication of the Compliance department’s missions, goals, and strategies. Projects will be assigned to the Consultant related to new systems, processes, rules, regulations, etc. as appropriate. Flexible to perform other job duties as assigned. Education & Experience College degree required. In lieu of a college degree, a minimum of (6) years of compliance experience is preferred, or an equivalent combination of education and experience sufficient to successfully perform the essential functions of the job. A minimum of (4) years of experience working for or with a broker/dealer, preferably in Legal/Compliance. Must have a reasonable knowledge of the FINRA and SEC regulations and general broker-dealer operations. Series 7, 63, and 24 are required. 65 or 66 is preferred. Proficiency in MS Office required. Physical Demand & Work Effort Keying/typing, standing, walking. Sitting for an extended period. Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment. The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job. Compliance with company attendance standards. Comprehensive Benefits We offer a competitive salary, and an outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match. #Avantax At Avantax®, we believe our work benefits from the diverse perspectives of our employees. As such, Avantax welcomes and celebrates diversity and inclusion and is committed to equal opportunity employment. At Avantax, you can expect a supportive, open, and inclusive atmosphere and a team that values your contributions. Avantax and its business lines, Avantax Wealth Management® and Avantax Planning Partners℠ are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants without regard to race, color, religion, sex, national origin, age, physical and mental disability, marital status, sexual orientation, gender identity, veteran status, and any other status protected under federal or state law. Avantax considers information gathered in the hiring process, including information on this application, confidential, and only shares it on a need-to-know basis or as required by law. If you need assistance or accommodation due to a disability, you may contact us at HR@Avantax.com, or by calling 972-870-6000 to speak with a member of the HR Talent Acquisition team. About Avantax® Avantax, Inc. (Avantax), a unique community within Cetera Holdings, delivers tax-intelligent wealth management solutions for financial professionals, tax professionals and CPA firms, supporting its goal of minimizing clients’ tax burdens through comprehensive tax-intelligent financial planning. Avantax has two distinct, but related, models within its business: the independent Financial Professional model and the employee-based model. Avantax refers to its independent Financial Professional model as Avantax Wealth Management®. Avantax Wealth Management (AWM) works with a nationwide network of Financial Professionals operating as independent contractors and offers its services through its registered broker-dealer, Avantax Investment Services, Inc., registered investment advisor (RIA), Avantax Advisory Services, Inc., and insurance agency subsidiaries. We refer to our employee-based model as Avantax Planning Partners℠. Avantax Planning Partners offers services through its RIA, insurance agency, and affiliated broker-dealer, Avantax Investment Services, Inc., and partners with CPA firms to provide their consumer and small-business clients with holistic financial planning and advisory services. For additional information, please visit www.avantax.com.