Compliance Manager

7 days ago

houston, United States Houston City Personnel Full time

Overview: The Supervisory Associate assists the Branch Manager in daily operations, supervisory administration, and Advisor/client service excellence.


Key Responsibilities:

Daily Trade Monitoring: Conduct thorough reviews of daily trading activities to ensure adherence to compliance policies and regulatory standards.

Trade Compliance Software Management: Utilize and manage FIS Trading Compliance Software to monitor alerts for potential violations, ensuring timely identification and resolution of compliance issues.

Account Allocation and Suitability Review: Review discretionary account asset allocations to verify appropriateness for clients based on their financial profiles and investment goals, with a specific focus on Fiduciary Standards (Duty of Care, Reg BI).

New Account Supervisory Review: Conduct thorough review of new account applications, including Know Your Customer (KYC) procedures, Anti-Money Laundering (AML) checks, and suitability assessments to ensure all documentation is complete and compliant.

New Account Risk Assessment: Evaluate client profiles and associated risks, focusing on high-risk accounts, complex structures, or unusual patterns that may require additional scrutiny.

Support Supervision Reviews and Audits: Assist the Branch Supervisor in completing day-to-day branch supervision reviews (account updates, advertising/marketing reviews, trade reviews, email reviews, etc.)

Advisor Interaction: Provide exceptional service to Advisors, addressing inquiries, resolving issues, and facilitating open communication.

Compliance Monitoring: Help maintain adherence to regulatory requirements and firm policies, assisting in compliance reviews and coordination.

Training and Development: Aid in the onboarding and training of new staff members, ensuring they are familiar with branch processes and procedures.

Reporting: Assist in preparing regular management reports, including supervisory metrics, updates on critical task completions, and branch performance summaries.

Coordination with Teams: Collaborate with various departments, including compliance, operations, and investment management, to support branch initiatives and projects.


Ǫualifications:

Bachelor’s degree in business administration, Finance, or related field.

Active Series 24 license is required; additional FINRA licenses are a plus (e.g., Series 7, Series 63).

Minimum of 2 years of experience in compliance, regulatory oversight, or related fields within the financial services industry, preferably in wealth management.

Strong knowledge of trading and investment compliance regulations, including SEC, FINRA, and other relevant bodies.

Strong understanding of KYC, AML regulations, and securities industry practices.

Knowledge of financial products, services, and regulatory requirements.

Experience with FIS Trading Compliance Software or similar compliance monitoring tools is highly desirable.

Proficient in Microsoft Office Suite (Word, Excel, PowerPoint).

Experience with financial reporting, and CRM software is a plus.

Ability to multitask and manage competing priorities in a fast-paced environment.

Team player, collaborative, able to work well with all levels of the organization.

Attention to detail is critical.

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