Compliance & Operations Specialist

Compliance & Operations Specialist

Victory Wealth Services | Prescott, Arizona

Salary: $55,000–$60,000 annually, based on experience

Job Type: Full-Time | On-Site | Monday–Friday

Benefits: Unlimited Paid Time Off, Health Insurance, Retirement Plan

About Victory Wealth Services

Victory Wealth Services is a growing, independent financial services firm in Prescott, Arizona, specializing in retirement planning, investment management, and insurance solutions.

We are seeking a highly organized, detail-oriented Compliance & Operations Specialist to help manage our regulatory compliance activities, maintain accurate client records, and support our day-to-day operations.

This is an excellent opportunity for someone with a background in financial services, compliance, or administrative operations who enjoys taking ownership of projects, improving processes, and ensuring important details are handled accurately and efficiently.

Position Overview

The Compliance & Operations Specialist will play an important role in maintaining our regulatory compliance program, managing our compliance management platform, and ensuring the accuracy, completeness, and organization of client records.

The ideal candidate is proactive, resourceful, technologically proficient, and comfortable working independently while collaborating with firm leadership and external compliance professionals.

Key ResponsibilitiesRegulatory Compliance & Administration

• Manage day-to-day activities within the firm's Comply compliance management platform.
• Coordinate compliance tasks, employee certifications, training records, and regulatory deadlines.
• Conduct and document vendor due diligence and ongoing vendor monitoring.
• Assist with regulatory filings, registrations, and annual compliance reviews.
• Support regulatory examination preparation and compliance testing.
• Maintain and update written policies, procedures, and compliance documentation.
• Research applicable regulatory requirements and coordinate implementation of necessary updates.
• Identify outstanding compliance items, communicate with responsible parties, and track them through resolution.

Client Records & Documentation

• Maintain accurate, organized, complete, and accessible client files.
• Conduct periodic client file reviews and quality-control checks.
• Verify that required agreements, disclosures, suitability documentation, and other applicable records are properly maintained.
• Identify missing or incomplete documentation and coordinate timely resolution.
• Maintain standardized file organization, naming conventions, and document management procedures.
• Support ongoing records management and process improvement initiatives.
• Ensure appropriate handling of confidential client information.

Operational Support

• Collaborate with advisors and administrative staff to ensure compliance procedures are followed.
• Maintain compliance tracking systems, reports, and internal documentation.
• Assist with insurance and annuity compliance documentation.
• Support retirement rollover and best-interest documentation reviews.
• Coordinate with outside compliance consultants and firm leadership.
• Recommend improvements to compliance workflows and operational processes.

Qualifications

Required

• 1–3 years of experience in financial services, compliance, administrative operations, or a related role involving detailed documentation.
• Exceptional organizational skills and attention to detail.
• Strong computer skills and ability to learn new software systems.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities and deadlines independently.
• Strong problem-solving skills, initiative, and follow-through.
• Ability to handle sensitive and confidential information professionally.

Preferred

• Experience working with a Registered Investment Adviser (RIA), broker-dealer, or insurance agency.
• Familiarity with regulatory compliance requirements in financial services.
• Experience with Comply or similar compliance management software.
• Experience with electronic document management systems.
• Knowledge of annuity documentation, client file requirements, or regulatory filings.

What We're Looking For

We're looking for someone who takes pride in being organized, accurate, and dependable.

Our ideal candidate enjoys solving problems, creating efficient systems, and taking initiative. They recognize when something needs attention, communicate effectively, and follow through until the issue is resolved.

A willingness to learn, strong work ethic, and commitment to quality are just as important as previous experience.

What We Offer

• Competitive annual salary of $55,000–$60,000, based on experience.
• Unlimited paid time off, subject to company policy and scheduling approval.
• Health insurance.
• Retirement plan.
• Professional, collaborative office environment.
• Direct collaboration with company leadership.
• Opportunities for professional growth and development.
• The opportunity to make a meaningful contribution to a growing financial services firm.

How to Apply

Please submit your resume and a brief description of your experience in compliance, financial services, or operations.

We welcome applicants who are motivated to develop their regulatory compliance expertise and grow with our organization.

Work Location: Prescott, Arizona — Full-Time, On-Site

• Victory Wealth Services is an equal opportunity employer.