A financial services firm is seeking a Compliance Officer to support its broker-dealer compliance program through branch examinations, regulatory oversight, compliance monitoring, and advisory activities. This role offers broad exposure to multiple areas of compliance, including branch inspections, supervisory controls, employee trading, advertising review, investment advisory compliance, regulatory examinations, and policy governance.
The ideal candidate will have a strong understanding of broker-dealer regulations, supervisory practices, and compliance controls, along with the ability to communicate effectively with business partners and field personnel.
RESPONSIBILITIES
Compliance Examinations & Surveillance
Conduct risk-based reviews and on-site compliance examinations of branch offices and corporate business units.
Assess adherence to regulatory requirements, internal policies, and supervisory procedures.
Prepare clear and objective examination reports, documenting findings, recommendations, and corrective actions.
Identify potential compliance gaps, regulatory risks, and control weaknesses, and assist in remediation efforts.
Regulatory Compliance & Advisory
Support the firm's overall compliance and supervisory framework.
Assist business units and field personnel with compliance-related questions and regulatory guidance.
Participate in compliance monitoring and surveillance activities designed to identify potential regulatory concerns.
Assist with responses to regulatory inquiries, examinations, audits, and information requests.
Policy & Governance Support
Assist in the development, review, and maintenance of written supervisory procedures and compliance policies.
Support annual compliance certifications, attestations, and governance processes.
Participate in compliance training and education initiatives for employees and registered representatives.
Contribute to ongoing compliance program enhancements and special projects.
Investment Advisory & Operational Compliance
Support investment advisory compliance activities, including regulatory filings and disclosure maintenance.
Assist with employee trading reviews and personal securities monitoring.
Support oversight of advertising, marketing, electronic communications, customer complaints, and related compliance processes.
Partner with compliance leadership on departmental initiatives and operational improvements.
QUALIFICATIONS
QUALIFICATIONS
Bachelor's degree in Business, Finance, Economics, Accounting, or related field, or equivalent financial services experience.
Experience in broker-dealer compliance, supervision, audit, branch examinations, risk management, or regulatory oversight.
Strong understanding of compliance monitoring, surveillance, and supervisory control concepts.
SIE and Series 7 license, or ability to obtain within a defined timeframe.
Excellent written and verbal communication skills.
Strong analytical and problem-solving abilities.
Ability to travel approximately 30 40% as required.
PREFERRED EXPERIENCE
Experience conducting branch audits, compliance examinations, or regulatory reviews.
Knowledge of broker-dealer and investment adviser regulatory requirements.
Familiarity with employee trading reviews, advertising compliance, and electronic communications supervision.
Experience supporting regulatory examinations and compliance testing initiatives.
Proficiency in Microsoft Office applications;experience with data analysis tools or SQL is a plus.
What This Role Offers
Broad exposure across broker-dealer and investment advisory compliance functions.
Opportunity to develop expertise in branch examinations, surveillance, and regulatory oversight.
Direct interaction with business leaders, registered representatives, and compliance leadership.
Significant career growth opportunities within compliance, supervision, risk management, and regulatory affairs.
Dynamic role combining field examinations, compliance advisory work, and governance responsibilities.
Numbers & Facts
Location
Dallas / Fort Worth, TX
Skills
Accountingunmatched
Advertisingunmatched
Advertising Monitoringunmatched
Analysis Skillsunmatched
Auditingunmatched
Brokerageunmatched
Communication Skillsunmatched
Corrective Actionunmatched
Data Analysisunmatched
Documentationunmatched
Economicsunmatched
Financeunmatched
Financial Servicesunmatched
Investment Servicesunmatched
Leadershipunmatched
Maintain Complianceunmatched
Marketing Communicationsunmatched
Microsoft Officeunmatched
Operational Improvementunmatched
Presentation/Verbal Skillsunmatched
Problem Solving Skillsunmatched
Regulationsunmatched
Regulatory Complianceunmatched
Regulatory Requirementsunmatched
Regulatory Submissionsunmatched
Riskunmatched
Risk Managementunmatched
SQL (Structured Query Language)unmatched
Securitiesunmatched
Series 7unmatched
Surveillanceunmatched
Test Plan/Scheduleunmatched
Willing to Travelunmatched
Writing Skillsunmatched
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