Senior Compliance Expert

5 days ago


Dallas, Texas, United States Strategic Wealth Designers Full time

About Us

We are Strategic Wealth Designers, a reputable financial services firm dedicated to providing exceptional client experiences. Our team of professionals is passionate about ensuring regulatory compliance and safeguarding client interests.

Salary

The estimated salary for this role is $80,000 - $100,000 per year, depending on experience and qualifications.

Job Description

This role involves ensuring that our organization adheres to regulatory standards and internal policies. The ideal candidate will have 3-5 years of experience in compliance, risk management, or a related field, with knowledge of relevant regulations and compliance frameworks within the RIA space.

Key Responsibilities

  • Monitor and interpret applicable laws, regulations, and guidelines to ensure organizational compliance.
  • Stay up to date on changes in regulations that may impact the organization.
  • Assist in the development and implementation of compliance policies and procedures.
  • Conduct regular compliance audits and assessments to identify areas of risk.
  • Prepare and deliver detailed findings and recommend necessary corrective action.

Requirements

  • Bachelor's degree in business, finance, law, or a related field.
  • Strong analytical and problem-solving skills.
  • Excellent verbal and written communication skills.
  • Detail-oriented with strong organizational skills.
  • Proficient in compliance management systems, risk assessment software, and Microsoft Office Suite.

Benefits

  • A competitive salary range of $80,000 - $100,000 per year.
  • A generous benefits package.
  • Opportunities for professional growth and development.

Location

This position is based in Dallas, TX, and requires a commitment of Monday - Friday, 40 hours a week.



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