Global Wealth Management Firm Seeks All-Star Compliance Consultant to work in Lonestar State
Location: Dallas/Fort Worth, Texas
The Compliance Consultant performs a key role in the oversight of Financial Advisors and employees, with a primary focus of overseeing and monitoring activities for compliance with the various state, FINRA, and federal securities rules and regulations.
The Consultant is responsible for performing regulatory branch office inspections to ensure compliance with record-keeping regulations and written supervisory procedures, as well as to review daily blotters, commission records, personnel files and complaints. The Compliance Consultant reviews and approves Advisors’ correspondence, sales literature and advertising materials to ensure it meets applicable FINRA standards. The Consultant is also responsible for reviewing all financial services communications and vendor materials. Projects will be assigned to the Consultant to analyze new regulations, internal policies, and business areas to recommend and implement the appropriate steps to address the issues.
Specific responsibilities include, but are not limited to the following:
·Conducts branch office inspections.
· Trains Financial Advisors and staff on securities regulations and responds to inquiries on same.
· Reviews prospective Financial Advisor U4 applications and approves or declines affiliation based on established criteria.
· Reviews outside activities and monitors personal accounts of Financial Advisors.
· Oversees Financial Advisor and employee activities to monitor for compliance with various state and federal securities rules and regulations.
· Monitors, reviews, and approves Financial Advisors’ correspondence and marketing materials.
· Presents compliance sessions and other training presentations.
Read More About this Opportunity HERE
To apply please submit your resume to Dolores Garcia at DGarcia@1stglobal.com
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