Arcadia Financial Careers

Compliance Officer

About the role/Scope of work:

  • Maintain that employees are adhering to compliance policies and procedures on a periodic basis.
  • Periodically review client recommendations and performance.
  • Periodically review the email and social media usage of registered
  • Periodically review the company trade blotter and clients books and
  • Provide Compliance support and guidance on strategic initiatives and regulatory
  • Assist with designing and delivery of compliance training to the
  • Assist with the review of marketing
  • See that annual requirements are delivered upon as outlined by the


  • Minimum of 3-5 years of working within the financial services industry, with knowledge and good understanding of SEC rules preferred.
  • Knowledge of asset management compliance program related rules and
  • Strong analytical and problem-solving
  • Highly organized and detail-
  • Excellent communication skills (oral and written), with the ability to work on multiple tasks simultaneously.
  • Self-motivated.
  • Flexible team
  • IT skills (MS Excel/MS Word)


  • Client Focus – demonstrates clear understanding of importance of effective customer service, internally and externally
  • Trust – evidences high standards of integrity and openness
  • Teamwork – demonstrates ability to work effectively as a member of a team, a collaborative style, and understands the value of diversity
  • “Outperformance” – evidences the ability to exceed expectations of others


About Arcadia Financial Group

Our Culture:

  • We believe in a strong work ethic in a fun and collaborative office culture
  • Collaboration is what makes a healthy team
  • We believe work life balance is important and strive to ensure a healthy balance between work and home for all team members

Our Mission Statement:

Challenging you to fearlessly live like every day is Saturday.

Our Core Values:

  • Always do the right thing
  • It takes a little more to be a champion
  • We are a SEAL team
  • Make every client experience special and shareworthy