Job Title : Compliance Officer - Field Examiner
Location : Fort Worth, TX
Travel Requirement : Approximately 40-60%
About the Opportunity :
Are you an experienced compliance professional with a passion for ensuring regulatory excellence? We're seeking a Compliance Officer - Field Examiner to join our team! In this role, you will be responsible for conducting inspections, maintaining compliance with industry rules and regulations, and fostering a culture of compliance. Your work will play an integral part in validating suitable recommendations, analyzing supervisory processes, and supporting compliance efforts across the field and home office.
Requirements :
- Must have a FINRA series 24 and 7 license
- FINRA series 51, 63,65 and Group1 Insurance highly preferred
- Must have the ability to travel 40-60% of the time to field locations
- Must have 3 years of compliance experience in the financial services industry and be well versed in regulations regarding securities and insurance
Key Responsibilities :
As a Field Compliance Officer you will :
Prepare, schedule, and conduct Financial Advisor inspections to ensure compliance with industry rules, supervisory procedures, and firm policies.Analyze data to prepare for targeted inspections based on industry or company trends.Facilitate and support department investigations based on inspection findings.Draft detailed inspection reports and ensure noted deficiencies are promptly addressed.Assist in developing and revising compliance policies and procedures.Serve as a compliance resource by providing training and education to Advisors and administrative personnel.Perform second-line compliance reviews, including inspections, transactions, and electronic communications, to ensure regulatory compliance.Escalate complaints to the Quality Management Team and coordinate investigations between the Home Office and the Field.Evaluate workflows and tools to recommend improvements for compliance-related processes.Provide intelligence to ComplianceBenefits for the Field Compliance Officer :
PTO (sick / vacation)ESOP Contribution2 Days Volunteer PTOTuition reimbursementCovered ParkingFree financial planningFree on-site fitness center with exercise classes.Discounted personal training and massage therapy is availableFree basic life, short and long term disability and an employee assistance programCompany contributions to a Health Savings Account for the high deductible medical planMedical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepanciesCharitable services and volunteer opportunitiesYear-over-year gold winner of the American Heart Association Fit Friendly companyLibrary privilegesConcierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD libraryA career development programIn-house training courses ranging from leadership development to basic computer skillsEmployee recognition programs and quarterly all-employee luncheonsYearly family social eventsIf interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration
