Job Description

About Us:

Brookstone Capital Management is a dynamic and forward-thinking national Financial Services firm with $11B in Assets Under Management (AUM) providing a Turnkey Asset Management Platform (TAMP) to Financial Advisors. We are committed to providing innovative services, technology, and investment solutions to Financial Advisors and their clients. As we continue to rapidly grow, we are seeking a Compliance Officer to join our team. The successful candidate will be a high-energy, team-oriented, collaborative individual who supports the oversight needs of the firm's Investment Advisers. Must be able to successfully operate as a hands-on contributor in a fast-paced, team-oriented, and deadline-sensitive environment.

This is an onsite role working in our home office located in Wheaton, IL supporting our network of 750+ Advisers across all 50 states. We are looking for high performing individuals with a strong work ethic, passion for what they do, and positive attitude to join our highly collaborative work environment. This is an incredible opportunity to join a firm that is rapidly growing.

Responsibilities:

• Review client accounts for adherence to the stated investment policy statement
• Review and approve Investment Adviser marketing materials and sales literature
• Assist with annual compliance program review and testing
• Train firm employees and Investment Advisers about policies, procedures, and applicable federal securities laws
• Perform periodic branch office inspections
• Conduct initial and ongoing sub-advisor due diligence
• Maintain and update the firm compliance manual and disclosure brochures
• Keep up-to-date with regulatory changes and updates
• Assist with other duties and projects, as assigned

Qualifications:

• Bachelor's degree in Finance or related field from a four-year college
• Strong understanding of the Investment Advisers Act of 1940
• Securities Licenses: Series 65 or 66
• Experience in Investment Adviser compliance and supervision
• Ability to work as part of a team but maintain a proactive, independent approach
• Detail-oriented with strong decision-making and analytical skills
• Strong interpersonal, oral, and written communication skills
• Proficient with Microsoft Office suite (Word, Excel, PowerPoint, Outlook)
• Occasional travel required to conduct branch audits

Position: Full-time

Location: Wheaton, IL (100% onsite - not a remote/hybrid/WFH position)

Benefits: Medical, Dental, Vision, 401(k) w/match, Life, Maternity, Paternity, and PTO (paid vacation, sick, and personal time off)

Job Tags

Similar Jobs