[Hiring] Compliance Specialist REMOTE USA
Position: Compliance Specialist
Date Posted: November 6, 2025
Industry: Financial Services / Insurance / Investment Advisory
Employment Type: Full Time
Experience: 2+ years in Compliance and/or regulatory roles within RIA and broker-dealer segments
Qualification: Bachelor’s degree in a related discipline; licenses required or obtainable within 120 days (Series 7, 24/26, 63, 65/66, 53/51, Life, Health & Variable Annuity)
Salary: $75,000–$90,000 + bonus program
Location: Santa Barbara, California, United States, REMOTE
Company: World Insurance Associates LLC
Description:
World Insurance Associates LLC is seeking a detail-oriented and motivated Compliance Specialist to support and enhance the firm’s Compliance Program. Reporting to the Manager of Compliance Operations, this role is responsible for ensuring regulatory compliance, supporting internal teams, and providing guidance across operational activities.
Key Responsibilities:
• Develop and manage compliance activity reporting systems for the department
• Represent compliance in resolving issues with Operations and Accounting regarding new account setups
• Monitor department emails and ticketing systems, ensuring timely responses or escalation as needed
• Provide education, guidance, and support to Financial Representatives and staff on firm policies, procedures, industry regulations, and general inquiries
• Assist management with projects, audits, and testing initiatives
• Perform other duties as assigned
Position Requirements:
• Bachelor’s degree in a related field
• Minimum 2 years of Compliance/regulatory experience within RIA and broker-dealer business segments
• Licenses: Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), Life, Health & Variable Annuity (or ability to obtain within 120 days)
• Strong knowledge of brokerage and investment advisory regulations
• Deep understanding of supervision, suitability, and registration rules
• Excellent technology and communication skills
• Ability to work independently, prioritize tasks efficiently, and make informed decisions
• Motivated self-starter and cooperative team player seeking process improvement
Preferred Qualifications:
• Experience with regulatory requirements under Reg-BI and PTE 2020-02
• Current Life, Health & Variable Annuity license
Compensation & Benefits:
• Salary range: $75,000–$90,000 (based on qualifications and operational needs)
• Bonus program
• 401(k) with employer match
• Health, Dental, and Vision insurance (with HSA/FSA options)
• Life insurance
• Flexible PTO policy
• Maternity/Paternity leave
• Remote work opportunity
• Healthy work/life balance and professional growth opportunities
• Mentorship and participation in internal steering committees (DEI, charitable giving, social initiatives)
World Investment Advisors, part of World Insurance Associates, LLC, is a nationally recognized firm providing premier wealth management and retirement plan advisory services. The company fosters a stimulating, team-oriented, and inclusive environment, encouraging professional growth while maintaining a healthy balance between work and personal life.
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