Demo

Compliance Officer

CS Pro
Fort Worth, TX Full Time
POSTED ON 3/4/2025
AVAILABLE BEFORE 5/27/2025

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 Compliance
  • Benefits for the Field Compliance Officer :

  • PTO (sick / vacation)
  • ESOP Contribution
  • 2 Days Volunteer PTO
  • Tuition reimbursement
  • Covered Parking
  • Free financial planning
  • Free on-site fitness center with exercise classes.
  • Discounted personal training and massage therapy is available
  • Free basic life, short and long term disability and an employee assistance program
  • Company contributions to a Health Savings Account for the high deductible medical plan
  • Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
  • Charitable services and volunteer opportunities
  • Year-over-year gold winner of the American Heart Association Fit Friendly company
  • Library privileges
  • Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
  • A career development program
  • In-house training courses ranging from leadership development to basic computer skills
  • Employee recognition programs and quarterly all-employee luncheons
  • Yearly family social events
  • If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration

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