What are the responsibilities and job description for the Compliance Officer position at H Cap Connect, LLC?
Compliance Officer – Empower Growth, Ensure Integrity
Location : Baton Rouge, LA [Remote]
Job Type : Full-time
Are you a compliance professional who believes in guiding growth rather than restricting it ? Do you thrive in a collaborative, people-first environment where your expertise shapes success? If so, we want to meet you!
Why You’ll Love This Role
This OSJ is more than a team—they are a close-knit group that values partnership, positivity, and progress . As the Compliance Officer , you’ll play a pivotal role in ensuring our advisors have the knowledge, tools, and support they need to operate ethically and effectively. This isn’t just about oversight—it’s about mentorship, innovation, and building a culture of compliance that empowers, not hinders, success.
What You’ll Be Doing
- Oversee and enhance compliance programs within the firm and OSJ network.
- Keep a pulse on industry regulations (FINRA, SEC) and ensure alignment with best practices.
- Provide expert guidance to advisors on compliance rules, product suitability, advertising, and more.
- Review new business and trade submissions to ensure adherence to regulatory policies.
- Stay ahead of licensing and continuing education requirements for firm advisors.
- Lead and contribute to quarterly compliance meetings and operational strategy discussions .
- Partner with our advisors, staff, and broker-dealer to create a culture of integrity and continuous improvement.
What Makes You a Great Fit
10 years of experience in compliance, risk management, or financial services.
Series 7, 66, and 24 licenses (a must!).
Deep knowledge of FINRA regulations, industry policies, and risk management .
Strong attention to detail and the ability to navigate a fast-paced environment .
A passion for collaboration, problem-solving, and advisor success .
A clean FINRA and background report .
What’s In It for You?
Competitive salary based on experience
Health, dental, and vision insurance
Group life and disability coverage
401(k) with company safe harbor, profit-sharing, and cash balance plan
Ongoing professional development opportunities
This is more than just compliance—it’s about shaping a firm where integrity meets innovation. Ready to make an impact? Let’s talk!
