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Compliance Officer

Madison-Davis

Dallas / Fort Worth, TX

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JOB DETAILS
SKILLS
Advertising Monitoring, Analysis Skills, Auditing, Brokerage, Business Operations, Communication Skills, Data Analysis, Detail Oriented, Financial Services, Maintain Compliance, Marketing, Microsoft Excel, Microsoft Office, Microsoft Outlook, Microsoft PowerPoint, Microsoft Word, Multitasking, Operational Audit, Operational Support, Performance Reviews, Presentation/Verbal Skills, Problem Solving Skills, Regulations, Regulatory Compliance, Regulatory Requirements, SQL (Structured Query Language), Securities and Exchange Commission (SEC), Series 7, Strategic Planning, Surveillance, Team Player, Track Customer Issues, Willing to Travel, Writing Skills
LOCATION
Dallas / Fort Worth, TX
POSTED
6 days ago

Our client is seeking a Compliance Officer to support its broker-dealer compliance program across branch offices and corporate business units. This role will assist with compliance oversight, branch examinations, regulatory reviews, employee trade monitoring, and supervisory control activities within a regulated financial services environment.

The ideal candidate will possess strong regulatory and compliance knowledge, excellent communication skills, and the ability to work collaboratively across business and operational teams while supporting a broad range of compliance initiatives.



Key Responsibilities
  • Conduct on-site compliance inspections and reviews of branch offices and home office business units.
  • Prepare detailed compliance examination reports and communicate findings in a professional and objective manner.
  • Identify, escalate, and assist in resolving potential regulatory or supervisory issues.
  • Support education and training initiatives related to regulatory requirements and compliance obligations.
  • Assist with the annual CEO Certification process and related governance activities.
  • Support investment advisory compliance activities, including assistance with annual Form ADV Part 2A/2B updates and related filings.
  • Assist with review, maintenance, and enhancement of written supervisory procedures and compliance policies.
  • Support employee trade reviews, electronic communications monitoring, customer complaint reviews, and marketing/advertising compliance oversight.
  • Assist with responses to regulatory requests, examinations, audits, and inquiries.
  • Participate in special compliance projects and strategic initiatives as assigned by management.
  • Promote a strong culture of compliance and adherence to regulatory standards across the organization.
Qualifications
  • Bachelor s degree preferred;equivalent financial services industry experience considered.
  • Experience within Compliance, Supervision, Audit, Operations, or related financial services functions preferred.
  • Knowledge of broker-dealer compliance, supervisory controls, and regulatory surveillance activities.
  • Familiarity with FINRA, SEC, and related regulatory requirements preferred.
  • Successful completion of the SIE and Series 7 license required or ability to obtain within one year of hire.
  • Strong verbal and written communication skills with the ability to present complex information clearly and professionally.
  • Strong analytical and problem-solving skills with attention to detail and sound professional judgment.
  • Ability to manage multiple priorities and work effectively in a fast-paced environment.
  • Proficiency with Microsoft Office applications including Word, Excel, PowerPoint, and Outlook.
  • Familiarity with SQL or related data analysis tools is a plus.
  • Ability to travel approximately 30 40% as needed.



About the Company

M

Madison-Davis

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