Compliance Consultant I

1 week ago

Dallas, Texas, United States Avantax Full time

Position Summary

Avantax is seeking a Compliance Consultant I (Compliance Services Team) who will be responsible for performing a key role in the oversight of Financial Advisors and employees, with a primary focus on overseeing and monitoring activities for compliance with the various state, FINRA, and federal securities rules and regulations. Primary duties include advertising review and correspondence/email/social media reviews. The Compliance Consultant will function as the front line to answer compliance and supervision questions that come in via phone, email, and our internal system from Advisors, Assistants, and internal team members. Questions could relate to all areas of the compliance group.

Essential Duties & Responsibilities

The major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily. Reasonable accommodation may be made to enable individuals with disabilities to perform essential functions.

  • Review and approve correspondence, sales literature, and advertising materials to ensure they meet applicable FINRA standards.
  • Effectively communicate with advisors and internal staff regarding advertising submissions and educate them accordingly.
  • Conduct regulatory branch office inspections to ensure compliance with record-keeping regulations and written supervisory procedures.
  • Review and approve Financial Advisor and employee outside business activities and outside accounts.
  • Review U4 applicants' background information, OBAs, and licensing paperwork, and evaluate and approve Form U4 for new Advisors.
  • Address compliance-related questions and inquiries (phone and electronic) from advisors and internal staff.
  • Identify opportunities for improvement in the firm's processes/procedures and make recommendations for changes.
  • Contribute to the development, implementation, and communication of the Compliance department's missions, goals, and strategies.
  • Projects will be assigned to the Consultant related to new systems, processes, rules, regulations, etc. as appropriate.
  • Flexible to perform other job duties as assigned.

Education & Experience

  • College degree required.
  • In lieu of a college degree, a minimum of (6) years of compliance experience is preferred, or an equivalent combination of education and experience sufficient to successfully perform the essential functions of the job.
  • A minimum of (4) years of experience working for or with a broker/dealer, preferably in Legal/Compliance.
  • Must have a reasonable knowledge of the FINRA and SEC regulations and general broker-dealer operations.
  • Series 7, 63, and 24 are required.
  • Series 65 or 66 is preferred.
  • Proficiency in MS Office required.

Physical Demand & Work Effort

  • Keying/typing, standing, walking.
  • Sitting for an extended period.
  • Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.
  • The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.
  • Compliance with company attendance standards.

Comprehensive Benefits

We offer a competitive salary, and an outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.

#Avantax

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