What are the responsibilities and job description for the Compliance Manager position at North Texas Wealth Management?
About Us
North Texas Wealth Management has been empowering individuals and families to achieve their financial goals since 1968. As a fee-based wealth management firm, we take pride in offering personalized services across all stages of the financial journey. Our team-oriented culture fosters collaboration, positivity, and growth, backed by industry-leading technology and competitive benefits. We are committed to values-based investing, leveraging innovative tools to optimize financial planning and maximize investment and tax strategies.
About the Role
We are seeking a Compliance Manager to join our team full-time at our Allen, TX office. In this critical role, you’ll be responsible for overseeing and ensuring adherence to all regulatory compliance requirements. As the guardian of our firm's compliance program, you’ll play a key role in maintaining the integrity of our operations, mitigating risk, and safeguarding our clients’ trust.
Key Responsibilities
- Regulatory Oversight : Ensure compliance with SEC, FINRA, and other applicable regulations, proactively identifying areas of risk and implementing necessary updates or controls.
- Supervisory Responsibilities : Act as a Registered Principal , leveraging your Series 24 license to supervise and review activities across the firm.
- Policy Development : Develop, implement, and maintain compliance policies, procedures, and processes to meet evolving regulatory requirements.
- Monitoring and Audits : Conduct internal audits, supervise surveillance systems, and review activities to ensure adherence to policies and regulations.
- Training : Provide compliance training to staff to maintain a culture of compliance awareness and integrity.
- Document Review : Review and approve advertising and marketing materials, client communications, and investment documentation to ensure compliance with regulatory guidelines.
- Filing and Reporting : Maintain accurate records and handle required filings, disclosures, and reporting to regulatory bodies.
What We’re Looking For
What Makes You a Great Fit
Benefits :
