We're hiring a Compliance Associate!

We are currently seeking an experienced and professional regulatory compliance associate, supporting and supervising the day to day operations of this successful BID and RIA. This position is offered at our operations facility and OSJ located in McLean, Virginia. Hours of operation are M-F from 8:30 AM until 5:30 PM.


About us: Spire is classified as a midsized firm by FINRA, but we 're big on personality and entrepreneurial spirit! Most of our business is advisory and runs through our RIA (Spire Wealth Management, LLC), and we offer securities products through our FINRA member BID, Spire Securities, LLC. We have worked tirelessly since 1997 to build a platform with great solutions that service many successful independent wealth managers and their practices across the nation. Our organization continues to grow with a team that is dedicated to building better processes and experiences for our wealth managers and their clients. We're invested in finding great new members of our team to meet the needs of our current growth and future plans!

About you: You're a motivated and tech savvy self-starter with growing confidence and industry experience. You enjoy conversation with veteran wealth managers and financial planners about their practice and goals. You're probably someone who has been fulfilling compliance related role at a BID or RIA for a couple of years now and you're looking for more experience and new opportunities.

Core Responsibilities will include:
•        Regulatory Registration & Licensing
•        FINRA, IA and NFA licensing
•        State Insurance and various insurance company appointments
•        Security Access Administration
•        System User and Password administration
•        Various regulatory reporting requirements as may be needed

Other Responsibilities may include:
•        Product Due Diligence review
•        Technology testing and implementation
•        Branch office visits
•        Policies & Procedures development/Training

Other Requirements:

The candidate must have the FINRA Series 7 license and 2 to 3 years broker/dealer or RIA firm experience in compliance or operations.

This is a full time permanent position, with growth potential, in our corporate office in Tyson's Comer, VA. We offer very competitive salary and benefits including medical, vision, dental, 401K and paid time off.
You can read more about Spire by visiting our website www.SpireIP.com. Please fax your resume to 703-748-1372 - attn.: Careers


Spire Investment Partners, LLC. is the parent company of both a SEC RIA and a FINRA member BID. Spire Investment Partners maintains clearing and custody services through 5 major custodial platforms. Spire Investment Partners is one of the most flexible RIAIBD combinations in the country. We are built to leverage our open architecture and advanced technology in building successful wealth management practices.