Compliance Oversight Leader

4 days ago


Fort Worth, Texas, United States CornerStone Staffing Full time
About the Role

We are seeking a highly skilled Compliance Oversight Leader to join our team at CornerStone Staffing. This individual will be responsible for reviewing all advisor interactions to ensure compliance with regulatory requirements. The ideal candidate will have at least 5 years of experience in financial services and a Bachelor's Degree in a related field. Key responsibilities include monitoring work queues, providing field force support, escalating items to the supervisor, educating advisors, and identifying process improvement opportunities.

Requirements:
  • At least 5 years of experience in financial services.
  • Bachelor's Degree required in a related field.
  • FINRA Series 24 license.
  • Extensive knowledge of compliance and regulatory requirements.

Estimated Salary: $90,000 per year, based on industry standards.

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