What are the responsibilities and job description for the Compliance and Efficiency Specialist position at North Texas Wealth Management?
North Texas Wealth Management is seeking a Compliance and Efficiency Specialist to join our team. The ideal candidate will have experience in financial services, with a strong knowledge of regulatory frameworks and compliance procedures.
As a key member of our operations team, you will be responsible for ensuring compliance with SEC, FINRA, and other applicable regulations. You will also identify opportunities for process improvements, and develop and implement policies to maintain best practices in operational and administrative functions.
A successful candidate will possess excellent problem-solving, leadership, and communication skills. They will be able to balance compliance requirements with strategic business goals, and demonstrate a keen eye for operational efficiencies.
About the Role:
- Ensure compliance with SEC, FINRA, and other applicable regulations.
- Identify and implement process improvements to enhance operational efficiency and client experience.
- Develop and enforce policies to maintain best practices in operational and administrative functions.
- Provide compliance training to staff to foster a culture of awareness and integrity.
