What are the responsibilities and job description for the Compliance Analyst position at Crossmark Global Investments, Inc.?
Position Description/Background:
Crossmark Global Investments is a faith-based, boutique investment management firm with $7 billion in assets under management. The firm provides a full suite of investment management solutions to institutional investors, financial advisors and the clients they serve. For over 30 years, we have specialized in responsible investment strategies for clients. Founded in 1987, the firm is headquartered in Houston, Texas.
Crossmark’s Legal, Compliance, and Fund Administration group is responsible for the legal, compliance, government relations, mutual fund administration, and enterprise risk management functions within the firm. The group is currently comprised of three full-time employees, one part-time employee, and support from third-party consultants, lawyers, and other subject matter experts. The group completes or oversees the completion of over 350 scheduled compliance tasks and over 80 filings with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) through the course of a calendar year.
The Compliance Analyst will be responsible for monitoring and testing the firm’s compliance with policies and procedures that govern various business operations, managing projects within the group, and serving as a relationship manager with certain third-party service providers.
The Compliance Analyst will be asked to pass the FINRA Securities Industry Examination (SIE) within 90 days of the commencement of employment and the FINRA Series 7 and 66 Examinations within 180 days of the commencement of employment. The firm will support your commitment to meeting these requirements by providing training materials and resources to facilitate your preparation for the examinations.
Essential Duties and Responsibilities:
The following duties are generally representative of the nature and level of work assigned. They are not necessarily all inclusive.
The successful candidate must be able to exchange accurate information when working with others, think critically and act logically to evaluate situations, solve problems, and make sound decisions. He/she must be able to work at a desk operating a computer and other office equipment at least 90 percent of the time, as well as move about the facility to meet with people and access files, other information, operate office equipment, etc.
Job Location: Houston, TX
Job Type: Full-time
Crossmark Global Investments is a faith-based, boutique investment management firm with $7 billion in assets under management. The firm provides a full suite of investment management solutions to institutional investors, financial advisors and the clients they serve. For over 30 years, we have specialized in responsible investment strategies for clients. Founded in 1987, the firm is headquartered in Houston, Texas.
Crossmark’s Legal, Compliance, and Fund Administration group is responsible for the legal, compliance, government relations, mutual fund administration, and enterprise risk management functions within the firm. The group is currently comprised of three full-time employees, one part-time employee, and support from third-party consultants, lawyers, and other subject matter experts. The group completes or oversees the completion of over 350 scheduled compliance tasks and over 80 filings with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) through the course of a calendar year.
The Compliance Analyst will be responsible for monitoring and testing the firm’s compliance with policies and procedures that govern various business operations, managing projects within the group, and serving as a relationship manager with certain third-party service providers.
The Compliance Analyst will be asked to pass the FINRA Securities Industry Examination (SIE) within 90 days of the commencement of employment and the FINRA Series 7 and 66 Examinations within 180 days of the commencement of employment. The firm will support your commitment to meeting these requirements by providing training materials and resources to facilitate your preparation for the examinations.
Essential Duties and Responsibilities:
The following duties are generally representative of the nature and level of work assigned. They are not necessarily all inclusive.
- Audit firm activities to determine whether processes are being conducted in accordance with published policies and procedures.
- Research and document failures to comply with published policies and procedures.
- Make recommendations regarding changes to published policies and procedures.
- Maintain contract management database.
- Manage decision point reminders related to contract expirations / renewals.
- Serve as relationship manager with respect to third-party service provider relationships.
- Conduct annual due diligence reviews of third-party service providers.
- Maintain third-party service provider monitoring and testing logs, internal control audits, compliance program assessments.
- Maintain the firm’s record retention matrix and conduct periodic audits to ensure compliance with applicable record retention requirements.
- Email review.
- Excellent organizational skills.
- High degree of comfort working in a team environment as well as independently.
- Excellent broad-based analytical skills.
- Bachelor’s degree required.
The successful candidate must be able to exchange accurate information when working with others, think critically and act logically to evaluate situations, solve problems, and make sound decisions. He/she must be able to work at a desk operating a computer and other office equipment at least 90 percent of the time, as well as move about the facility to meet with people and access files, other information, operate office equipment, etc.
Job Location: Houston, TX
Job Type: Full-time
Salary : $50,000
