Arvest Wealth Management Compliance Specialist 2

Pay is based on a number of factors including the successful candidate’s job-related knowledge and skills, qualifications, and prior experience. Arvest offers a comprehensive suite of benefits, including a full range of health and life, financial, and wellness benefits. For more information about benefits, please visit www.arvest.com/careers/benefits .

Position is based at 5201 Village Parkway in Rogers, Arkansas but can be located anywhere within the Arvest four state footprint (OK, AR, MO, KS).

Position is Monday through Friday 8 am to 5 pm with the ability to work additional hours as needed.

Summary:

The story of Arvest is one of commitment started by our founders in 1961, with an intense dedication to focusing on our customers. We will always be active and involved members of the communities we serve, and we will always work to put the needs of our customers first as we continue to fulfill our mission – People helping people find financial solutions for life.

Job Title: AWM Compliance Specialist 2

This individual will work as a member of the AWM compliance team creating, communicating, and testing investment, trust and insurance policies and procedures; monitoring Client Advisor sales and service activities, and ensuring completing of continuing education; resolving customer complaints and assisting examiners with internal and external examinations.

We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.

What You’ll Do at Arvest: (Other duties may be assigned.)

• Monitor and review communications with the public (i.e., advertisements, newsletters, brochures and electronic mail), in compliance with FINRA regulations.
• Work with compliance team conducting internal investigations, trade/sales surveillance, and customer complaint resolution.
• Work with compliance team conducting off-site branch reviews on an on-going basis.
• Monitor, test, and communicate the system of policies and procedures to ensure the delivery of quality customer service.
• Work with compliance team to create, update and amend a system of policies and procedures for Supervisors, Client Advisors, and Assistants.
• Work with compliance team coordinating internal training on policies and procedures for all AWM associates.
• Make required filings with appropriate government agencies (FINRA, OCC, SEC) regarding licensing, examinations, continuing education, and state registrations.
• Assist internal and external regulatory examiners with audits and exams.
• Attend training sessions & other meetings as requested.
• Understand and comply with bank policy, laws, regulations, and the bank's BSA/AML Program, as applicable to your job duties. This includes but is not limited to; complete compliance training and adhere to internal procedures and controls; report any known violations of compliance policy, laws, or regulations and report any suspicious customer and/or account activity.
  
  
  

Supervisory Responsibilities

May supervise one or more associates. Carries out supervisory responsibilities in accordance with the organization’s policies and applicable laws.

Responsibilities:

Toolbox for Success:

• Bachelor’s Degree in finance-related area or equivalent work or military experience required.
• 6 years customer service experience required.
• 6 years of experience in trust or investment services required.
• Insurance license is required.
• Series 7 license is required.
• Series 66 license (or 63 & 65) is required.
• Series 24 license is required.
• 6 years in a compliance audit or compliance review related area preferred.
• Strong level of knowledge of investment sales and trust services business required.
• Relevant military experience is considered for veterans and transitioning service members.
  
  
  

Physical Demands:

The associate must be able to travel occasionally by themselves within the US, possibly overnight. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential functions.

We offer competitive compensation, benefits packages, and significant professional growth.

Along with an excellent benefits package, our associates are engaged, rewarded for performance, and encouraged to grow professionally and personally. Our future is driven by our associates. If you want to be recognized for your results and empowered to reach your potential, we urge you to apply.

Grade 17

Pay Range: $87070 - $103398 per year