Compliance Specialist - 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:

Minimum of 5 years of experience in investment advisory compliance.

Working knowledge of Investment Advisers Act of 1940.

Experience with Orion is preferred

Series 66 (or 63 and 65) preferred.

Exceptional organizational and interpersonal skills.

Excellent verbal and written communication skills.

Excellent analytical and problem-solving skills.

Ability to work independently with attention to detail.

We are a high-performing culture. Team members at PAG possess:

The highest engagement while supporting the PAG mission.

The highest degree of ethics and integrity.

A willingness to roll up their sleeves and work in a team-based environment.

An appreciation for all aspects of diversity, including ideas, perspectives, gender and ethnicity.

The goal to be the best at their role while being a great team member.

An approach that supports the current processes while seeking to identify opportunities for continuous improvement.

Trustworthiness and a spirit of doing the right thing.

The ability to be candid, identify risks and communicate effectively.

An internal drive that seeks to achieve high-performance in all they do.

Connection to industry groups and others within the industry.

Characteristics or traits include reliability and resiliency. They are prepared and ready to take on new challenges each day.

Flexibility, are agile and willing to participate or assist with various tasks.

Drive and determination to learn, grow and advance in their career.

A personal mission to serve the communities in which we live and work.

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