Compliance Onboarding Coordinator

Company Overview:

At Vicus Capital, we’re not your typical investment management firm. With over $2 billion in assets under management and a rapidly growing national presence, we’re on a mission to redefine how financial advisors are supported. Headquartered in State College, PA, we offer industry-leading advisory platforms and a team culture that’s as tight-knit and welcoming as it is high-performing.

We believe in excellence, collaboration, and doing things the right way—and we’re looking for a motivated professional ready to take ownership of their career.

Job Overview:

The ideal candidate has experience in the financial services industry, particularly in compliance and licensing and registration. This person would enjoy the challenges of managing the entire process of transferring and registering advisors and their staff from their current role to Vicus Capital. They would also perform compliance functions such as account review for client’s best interest and assist with software due diligence assessment of new technology, ensuring tech stack meets regulatory guidelines and safeguards client data. 

Exceptional attention to detail and organizational skills are a necessity. 

The ability to interact with staff and associates with a high level of professionalism, in a fast-paced environment, while remaining adaptable, proactive, resourceful and efficient is crucial. Proficient written and verbal communication skills, strong decision-making ability and flexibility are equally important.

Duties and Responsibilities

• Be responsible for complex coordination and registration of advisors, requiring interaction with internal and external financial advisors and administrative staff.
• Prioritize and manage multiple tasks simultaneously and follow through on issues in a timely and efficient manner.
• Work closely with senior management to ensure seamless transition and onboarding of advisors and staff.
• Understand legal guardrails of Compliance and regulatory guidelines as it relates to detailed review and approval of client accounts and tech software.

Qualifications:

• Bachelor's degree preferred with a minimum of 1- 3 years’ experience in the financial services industry.
• Series 65 required within 60 days of employment.
• Candidate should exhibit excellent attention to detail.
• Experience in project management or managing a complex checklist with a hard deadline.
• Candidate must be comfortable with technology and proactively embrace technology in the workplace.
• Strong knowledge of MS Office, including Word, Excel, PowerPoint and Outlook
• Knowledge of CRM systems and tech to input and track progress of pipeline of licenses and registrations
• Ability to review account applications in detail to ensure the proposed investment strategy aligns with the client’s stated goals, risk tolerance, and time horizon
• Experience conducting deep-dive reviews of third-party vendors (e.g., Portfolio Management, CRM, Financial Planning software) to ensure they meet SEC Cybersecurity standards.

Benefits

We believe great work comes from a great environment. Here’s what you can expect as a valued member of our team

• This is a full-time in office salaried position; 8:00am – 5:00pm
• Competitive compensation based on experience
• 15 days PTO and 5 Sick Days start accruing on Day 1
• Health, Dental, and Vision Insurance
• Group life and short-term disability insurance
• 401(k) plan with a safe harbor employer contribution
• A supportive, people-first culture where your work is valued and your growth is encouraged