What are the responsibilities and job description for the Compliance Specialist position at Private Advisor Group?
Private Advisor Group is looking for a talented, high-performing Compliance Specialist with investment advisory experience to join our Compliance Team. The Compliance Specialist will promote our culture of compliance while supporting our mission of helping advisors grow and service their clients. Responsibilities of the role include performing various compliance and supervisory functions within the compliance team with a focus on investment advisory compliance matters. This may be a hybrid position in Rock Hill, SC.
Key responsibilities in this role may include :
- Testing and monitoring of various policies and procedures within the scope of Rule 206(4)-7
- Conduct initial and periodic due diligence reviews of third-party managers
- Review and approval of advertising and marketing materials for compliance with regulations
- Perform a set of supervisory functions within Orion and other systems
- Interact with advisors on compliance related items and provide appropriate guidance
- Cross-train with team members to provide periodic backup to other compliance specialists during periods of absence and higher volume
- Conduct branch examinations on a periodic basis
To be successful in this role, candidates should possess :
We are a high-performing culture. Team members at PAG possess :
About Private Advisor Group
At Private Advisor Group we believe independent advisors should have the choice to design their firms with a business model and structure that achieves their personal vision.
Today, PAG provides services to over 700 independent advisors with $30 billion in AUM that helps them accomplish their goals while remaining compliant in all aspects of financial planning and wealth management. Advisors who join PAG have a shared belief in a culture of compliance, a client-first approach and a spirit of giving back to the communities in which they live and work.
In 2024, we were again honored to be included on Barron’s 2023 Top 100 RIA Firms.
Private Advisor Group is an equal opportunity employer who seeks to hire high performing team members that provide a diverse perspective, insight and experience.
For additional information on Private Advisor Group, please visit our website at