Compliance Specialist II

Job overview

The Compliance Specialist II role is hybrid in Akron, OH, with up to two work-from-home days per week under company policy. Compensation is not specified. Valmark Financial Group’s compliance work supports its independent Member Offices. The specialist manages day-to-day compliance tasks and inquiries, reviews correspondence and advertising, examines brokerage and advisory reports, assists with compliance testing and branch exams, and contributes to supervisory manual updates and risk-based reviews. The role also supports regulatory exams and follows up on findings with Member Offices.

What you'll do

• Respond to internal and external compliance inquiries
• review representative correspondence, email, social media, and advertising submissions
• review business, brokerage, and advisory reports
• assist with compliance testing and branch exams
• prepare findings reports
• participate in exam scheduling, regulatory exams, manual updates, and risk-based reviews.

What we're looking for

Skills & competencies

compliance specialist ii

financial compliance

hybrid

akron oh

valmark financial group

member offices

correspondence review

advertising review

branch exams

finra

sec

up to two work-from-home days

Work arrangement

• Weekend coverage required

Why this role

Typical schedule is Monday–Friday, 8:30 a.m.–5:00 p.m.; occasional travel outside the office may be up to 20%.

About the employer

Valmark Financial Group is hiring for this role. Industry: Portfolio Management and Investment Advice. Sector: 52.