Are you a compliance-minded professional who thrives in structured environments and enjoys bringing clarity to complex regulatory processes? Do you take pride in staying organized, communicating confidently, and supporting advisors through critical onboarding and registration requirements? If you’re looking to grow your career while playing a key role in regulatory support and relationship management, this could be an excellent opportunity.
Gradient Financial Group is a financial services organization with twelve specialized entities, including Gradient Securities, which is a FINRA registered broker-dealer and SEC registered investment advisory firm.
What You’ll Do
- Play a critical role in onboarding and supporting RRs while ensuring regulatory compliance
- Gather and review background information for RR onboarding
- Process registration and onboarding paperwork (OBA, DBA, affiliation forms, direct deposit, credit cards, etc.)
- Draft and submit ADV 2B and U-4 documents via CRD
- Set up RR email monitoring and archiving
- Provide Errors & Omissions (E&O) insurance information
- Guide IARs through the registration and onboarding process
- Manage annual filings, renewals, and IARD funding
- Stay current on regulatory changes
- Build and maintain strong internal and external relationships
What you Bring
- A Bachelor’s Degree or equivalent work experience
- 3–5 years of experience in the BD or RIA industry
- Experience with FINRA and SEC registration processes
- Experience with insurance company appointment processes
- Series 7 license or willingness to obtain
- Organized, proactive and responsive
- Looking to grow a career in financial services
Our Benefits
- Competitive compensation and comprehensive benefits
- 4 weeks of accrued PTO, plus 9 paid holidays
- Medical, dental, vision, life insurance, and 401(k)
- 8 hours of paid volunteer time off (VTO)
- Ongoing professional development and training
- A collaborative team that values expertise, initiative, and growth
Why You’ll Love Working Here
At Gradient, we set high expectations, but we back them with support, collaboration, and opportunities to grow. If you’re positive, driven, and enjoy working alongside motivated teammates, you’ll feel right at home.
