S U M M A R Y

We are looking for a detail-driven compliance professional who takes

ownership of the controls that protect our clients and our firm.

In this role, you will test and strengthen the policies that govern how we

trade, bill, communicate, and safeguard information, translating regulatory

requirements into practical processes our team can follow every day. You

will work alongside the Compliance Team and partner closely with advisors

and operations staff, giving them clear guidance so they can serve clients

with confidence. Success in this role looks like a firm that stays consistently

examination-ready and a team that understands why each control matters.

W H A T Y O U ’ L L D O

Perform ongoing testing of internal control policies - such as AI usage, trading, fee billing, account cancellations, books & records, marketing materials, custody, and cybersecurity.
Assist in firm oversight, such as monitoring of email and off-channel communications and personal securities transactions.
Monitor ongoing third-party vendor relationships.
Supervise firm representative licensing and continuing education requirements to ensure compliance.
Assist with firm compliance training and attestation processes.
Collaborate with the Compliance Team to assess the effectiveness of the firm’s compliance policies and
procedures to meet SEC regulatory requirements and best industry standards.

W H O W E W A N T O N O U R T E A M

Effective communicator, both written and oral.
Attentive to the smallest details; willing to identify errors and take steps to rectify issues.
Demonstrated organizational skills; self-motivated; able to prioritize and meet deadlines.
Proficiency in Microsoft programs and Adobe Acrobat.
Welcoming persona that is respectful of a diverse spectrum of clients and colleagues.
Desire to create and innovate processes.

P O S I T I O N D E T A I L S + B E N E F I T S

S T A R T D A T E

As soon as available (can be flexible)

H O U R S

Full-time, salaried

S A L A R Y

$58,000 – $64,000 Annually, based on experience

B E N E F I T S

LVZ Bonus Incentive Program
$500 Professional apparel stipend
100% Paid health insurance premiums for employee & dependents
Employee elected dental & vision at group rate
Paid time off (13 days)
401(k) employer match (12-month waiting period for match)
Custom-tailored financial plan from partner-level Certified Financial Planner
Reduced management fee for actively managed investments

O U R F I V E N O N - N E G O T I A B L E S

LVZ operates on five non-negotiables that define our team's culture. You are the right culture fit if you…

Foster a welcoming and respectful environment for team members and clients.

Create extraordinary client experiences that exceed expectations.

Operate on a foundation of integrity and clear communication.

Pioneer new ideas and processes as a result of perpetual learning.

Give generously of time, talents, and treasure to serve our communities.

A B O U T L V Z

Since our founding in 1960, LVZ has remained grounded in a singular purpose:

delivering peace of mind for whatever comes next. What began as a small firm

offering mutual funds has evolved alongside the lives and financial complexities of

the people we serve.

Today, LVZ provides comprehensive financial planning and investment management,

overseeing more than $1 billion in assets and serving clients through a nationwide

network of advisor partners. While the depth of our capabilities and reach has

grown, our commitment remains unchanged: thoughtful guidance, deeply personal

relationships, and a coordinated approach to helping clients navigate the

intersection of their lives and finances.

Learn more about us at

www.lvzinc.com

S U B M I T Y O U R A P P L I C A T I O N

Please submit your resume and a cover letter via the link below, telling us why this role and

our team are the right fit for you. Applications are reviewed as they arrive,

and we will follow up with the next steps.

https://www.lvzinc.com/join-our-team

Compliance Analyst

Job description