What are the responsibilities and job description for the Compliance Specialist position at CornerStone Professional Placement?
CornerStone Professional Placement is partnered with a leading financial services firm in Fort Worth that has a strong reputation for serving the military community. We're seeking a detail-oriented Compliance Specialist to join their team on a contract basis. This is a hybrid remote role with equipment provided.
If you have at least 2 years of experience in banking compliance and thrive in a fast-paced, accuracy-driven environment, this is a great opportunity to get your foot in the door with a respected organization that strives to make a difference. Apply today!
Job Title: Compliance Specialist
Location: Hybrid Remote (In Office: Tuesday to Thursday), Fort Worth, TX
Pay Range: $34/hr. - $38/hr. BOE
Schedule: M-F, 8AM to 5PM CST
WFH Equipment: Provided!
Job Duration: Long-Term Contract
Job Duties:
- Monitor and maintain tracking systems for regulatory disclosures tied to employee investment activity
- Communicate with internal stakeholders to verify external financial account details
- Draft and distribute regulatory correspondence (e.g., 3010 Letters) to third-party financial institutions
- Review and digitize physical statements from non-affiliated brokerage firms
- Manage account disclosures by consolidating data and coordinating with external firms to establish or enhance data feeds
- Collaborate with Compliance leadership to support policy development related to employee trading and account reporting
- Participate in recurring team discussions focused on operational compliance processes
- Evaluate and interpret data collected from disclosed investment accounts for risk and policy alignment
- Contribute to enhancements of internal compliance tools, including portal forms and automated workflows
- Prepare recurring reports and assist in the compilation of metrics relevant to account oversight
- Support broader compliance tasks as needed across team initiatives
Job Requirements:
- 2 years in the general financial service industry or insurance industry experience
- Compliance banking experience HIGHLY preferred
- High attention to detail, ability to multitask, and excellent written/verbal communication skills
- Ability to work in-office Tuesday to Thursday in Fort Worth, TX
- Intermediate to advanced proficiency in Microsoft Word and Excel
Education & Certification Requirements:
- Education: High school diploma or equivalent required; degree preferred
- Certifications: Series 6, Series 99, or 26 HIGHLY preferred
Salary : $34 - $38
