Compliance Officer

Contract duration - 3 months

Location: Remote and traveling 4 times a month across Texas (550 West Texas Avenue: Midland, TX)

Daily Responsibilities:

• Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and/or car to certain locations.

• Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.

• Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, con􀏐licts of interest, etc.

• The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written 􀏐inal report, maintain appropriate documentation to support reviews and 􀏐indings/issues, and escalate any areas where concerns were noted.

• The 􀏐inal report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.

• The employee is expected to contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.

• Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc

Must-have Skills/Experiences and/or Education, certi􀏐ications, quali􀏐ications, designations:

• Bachelor’s degree

• Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and

regulations

• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.

• Master’s or law school degree preferred

• Any FINRA registrations (Series 7, 24 etc) preferred

• Experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.