Investments Compliance Officer

Job Description

It’s about giving people a sense of security.

Do you have the ability to bring structure to complexity and always think one step ahead? Do you have a passion for identifying potential risks and finding thoughtful, compliant solutions? Are you known for your goal-oriented mindset and attention to detail? If so, the Investments Compliance Officer role at Frost Investment Services could be a great fit for you.

At Frost, it’s about more than a job—it’s about building a meaningful career where you can thrive both in and out of the office. We foster a workplace grounded in values, collaboration, and growth. When you join our adaptable, integrity-driven team, you become part of the Frost legacy.

Who You Are

As an Investments Compliance Officer with Frost Investment Services, you be responsible for overseeing compliance monitoring of all transactions, tasks, and activities for Frost Investment Services. You will evaluate the effectiveness of compliance controls that support applicable laws, rules, and regulations, including those regarding anti-money laundering. You will also recommend policies and procedures intended to prevent unethical and illegal conduct. You welcome a challenge and strive to contentiously improve processes with integrity, caring and excellence in mind.

What You’ll Do

• Maintain and update regulatory filings, including Form ADV Parts 1, 2A, and 2B, and Form CRS – Relationship Summary
• Evaluate and recommend updates to policies and procedures to strengthen compliance and address regulatory risks
• Conduct compliance testing and monitoring for best execution, trading practices, billing, and proxy voting
• Review and approve advertising and marketing materials, including the firm’s website, client presentations, and performance reports
• Maintain the firm’s Code of Ethics and oversee quarterly employee certifications
• Manage licensing and registration activities, including WebCRD/IARD submissions and EDGAR filings (e.g., Form 13F-NT and N-PX filings)
• Serve as a subject matter expert on investment adviser regulatory matters
• Support compliance risk assessments and related reviews across the firm and its affiliates
• Assist with the due diligence and ongoing oversight of sub-advisors
• Stay current with industry trends and share best practices with leadership
• Contribute to special projects and other compliance-related duties as needed
• Always take action with Integrity, Caring, and Excellence to achieve all-win outcomes
  
  

What You’ll Need

• Bachelor’s degree in a related field such as Business, Economics, Legal Studies, or Risk Management; or equivalent training/experience.
• 5 years of compliance experience with a registered investment advisor, compliance-focused consultant, or audit practice is required.
• Working knowledge and experience with the Investment Advisers Act of 1940.
• Series 65 or 66 license required; qualifying professional designation such as CFP, CFA, or ChFC a plus.
• Strong time management, organizational, analytical, and problem-solving skills with the ability to provide alternative approaches and solutions and exhibit good judgment in escalating issues to the Chief Compliance Officer.
• Excellent written and verbal communication skills, including the ability to present complex information clearly and effectively.
  
  

Additional Preferred Skills

• Advanced proficiency in Microsoft Excel is strongly preferred.
  
  

Since 1868, Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas. Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction. At Frost, it’s about being part of something bigger. If this sounds like you, we encourage you to apply and see what’s possible at Frost.