location_0_addressRegionName

location_0_addressCountryName

OFFSITE

UNKNOWN

jobPosting hiringOrganization as json hashed.

ADAPTED_NOW

HOUR

Compliance Specialist

Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to: the individual’s skill sets, experience and training; licensure and certification requirements; office location and other geographic considerations; other business and organizational needs. • The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.

KBSkills

ACTIVE

<strong>Role:</strong> Compliance Officer (Capital Markets and/or Wealth Management)<br/><strong>Location:</strong> Remote.......550 W Texas Ave # 120 Midland Texas 79701<br/><strong>Duration:</strong> 03 Month<br/><br/><strong>Need to travel 4 times per month</strong><br/><br/><strong>What will you do?</strong><br/>• Utilizing both on-site and virtual inspections, the Examiner is expected to complete numerous inspections per year of various Firm locations. This includes traveling by air and/or car to certain locations.<br/>• Review work performed by offshore examiners, to verify accuracy and completion, and to assist in the planning of their on-site and virtual inspections.<br/>• Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.<br/>• The employee is expected to hold discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.<br/>• The final report will be distributed to business stakeholders, inclusive of senior management, and may require presentations by the examiner.<br/>• The employee is expected to contribute/generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.<br/>• Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc<br/><br/><strong>What’s in it for you?</strong><br/>We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.<br/>• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable<br/>• Leaders who support your development through coaching and managing opportunities<br/>• Ability to make a difference and lasting impact<br/>• Work in a dynamic, collaborative, progressive, and high-performing team<br/>• Opportunities to do challenging work<br/>• Opportunities to build close relationships with clients<br/>Client compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:<br/>• Drives Client high performance culture<br/>• Enables collective achievement of our strategic goals<br/>• Generates sustainable shareholder returns and above market shareholder value<br/><br/><strong>What do you need to succeed?</strong><br/>• Bachelor’s degree<br/>• Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and<br/>regulations<br/>• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.<br/>• Master’s or law school degree preferred<br/>• Any FINRA registrations (Series 7, 24 etc) preferred<br/>• Experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.<br/><br/> <div><p>Vaco by Highspring values a diverse workplace and strongly encourages women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans to apply.</p></div><div><h3>EEO Notice </h3><p>Vaco by Highspring is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race (including but not limited to traits historically associated with race such as hair texture and hair style), color, sex (includes pregnancy or related conditions), religion or creed, national origin, citizenship, age, disability, status as a veteran, union membership, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as required by federal, state or local law.</p><p>Vaco by Highspring and its parents, affiliates, and subsidiaries are committed to the full inclusion of all qualified individuals. As part of this commitment, Vaco by Highspring and its parents, affiliates, and subsidiaries will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact <p>HR@vaco.com</p> .</p><p>Vaco by Highspring also wants all applicants to know their rights that <a href="https://www.eeoc.gov/poster" rel="noopener nofollow noreferrer" target="_blank">workplace discrimination is illegal</a>. </p><p>By submitting to this position, you agree that you will be giving Vaco by Highspring the exclusive right to present your as a candidate for the foregoing employment opportunity. You further agree that you have represented information about yourself accurately and have not affirmatively misrepresented your qualifications. You also agree to maintain as confidential, to the fullest extent permitted by law, any information you learn from Vaco by Highspring about the position and you will limit disclosure of information about the position only to the extent necessary to perform any obligations in furtherance of your application. In exchange, Vaco by Highspring agrees to exercise reasonable efforts to represent you through all solicitation, job screening and resume dispersal.</p></div><div><h3>Privacy Notice</h3><p>Vaco by Highspring and its parents, affiliates, and subsidiaries (“we,” “our,” or “Vaco by Highspring”) respects your privacy and are committed to providing transparent notice of our policies. </p><ul><li>California residents may access Vaco by Highspring HR Notice at Collection for California Applicants and Employees <a href="https://www.vaco.com/privacy/#ccpa" rel="noopener nofollow noreferrer" target="_blank">here</a>.</li><li>Virginia residents may access our state specific policies <a href="https://www.vaco.com/privacy/" rel="noopener nofollow noreferrer" target="_blank">here</a>.</li><li>Residents of all other states may access our policies <a href="https://www.vaco.com/privacy/" rel="noopener nofollow noreferrer" target="_blank">here</a>. </li><li>Canadian residents may access our policies in English <a href="https://www.vaco.com/privacy/" rel="noopener nofollow noreferrer" target="_blank">here</a> and in French <a href="https://www.vaco.com/privacy-policy-fr/" rel="noopener nofollow noreferrer" target="_blank">here</a>.</li><li>Residents of countries governed by GDPR may access our policies <a href="https://www.vaco.com/privacy/" rel="noopener nofollow noreferrer" target="_blank">here</a>.</li></ul></div><div><h3>Pay Transparency Notice</h3><p> Determining compensation for this role (and others) at Vaco by Highspring depends upon a wide array of factors including but not limited to:</p><ul><li>the individual’s skill sets, experience and training;</li><li>licensure and certification requirements;</li><li>office location and other geographic considerations;</li><li>other business and organizational needs.</li></ul><p>With that said, as required by local law, Vaco by Highspring believes that the following salary range referenced above reasonably estimates the base compensation for an individual hired into this position in geographies that require salary range disclosure. The individual may also be eligible for discretionary bonuses.</p></div>

Vaco provides expert consulting, permanent placement, executive search and strategic stafﬁng for companies around the world, in the areas of accounting, ﬁnance, technology, healthcare, operations, administration and more. As a premier talent solutions ﬁrm, Vaco connects people to their dream jobs and helps leading companies ﬁnd talent to grow their business. Since its founding in 2002, Vaco has grown to more than 35 ofﬁces across the globe, 700+ employees, more than 3,000 consultants and $450M in revenue. Vaco has been named to Inc. magazine’s list of the fastest-growing private companies for past 11 years and is dedicated to developing long-term relationships, life-long careers and creative client solutions.

Vaco LLC

Compliance officer (Capital Markets and/or Wealth Management)

Brokerage

Capital Markets

Coaching

Compensation and Benefits

Customer Relations

Employee Retention

English Language

Hair Styling

Internal Audit

Legal

Maintain Compliance

Management Strategy

Philosophy

Product Strategy

Quality Assurance

Series 7

State Laws and Regulations

Support Documentation

Surveillance

Team Player

Testing

Wealth Management

Vaco, LLC

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