AWM Compliance Specialist 2 - Masco Corporation

This job was posted by https://www.arjoblink.arkansas.gov : For more
information, please see: https://www.arjoblink.arkansas.gov/jobs/4240909
Location: 1810 N 1st Street, Jacksonville AR.Incumbent can be located
anywhere within the Arvest 4 State Footprint (AR, KS, MO, OK).
Incumbents outside of footprint will be further evaluated during the
interview process.
Summary:
*The story of Arvest is one of commitment started by our founders in
1961, with an intense dedication to focusing on our customers. We will
always be active and involved members of the communities we serve, and
we will always work to put the needs of our customers first as we
continue to fulfill our mission People helping people find financial
solutions for life.*
Job Title: AWM Compliance Specialist 2
This individual will work as a member of the AWM compliance team
creating, communicating, and testing investment, trust and insurance
policies and procedures; monitoring Client Advisor sales and service
activities, and ensuring completing of continuing education; resolving
customer complaints and assisting examiners with internal and external
examinations.
We are seeking candidates who embrace diversity, equity, and inclusion
in a workplace where everyone feels valued and inspired.
What Youll Do at Arvest: (Other duties may be assigned.)
- Monitor and review communications with the public (i.e.,
advertisements, newsletters, brochures and electronic mail), in
compliance with FINRA regulations.
- Work with compliance team conducting internal investigations,
trade/sales surveillance, and customer complaint resolution.
- Work with compliance team conducting off-site branch reviews on an
on-going basis.
- Monitor, test, and communicate the system of policies and procedures
to ensure the delivery of quality customer service.
- Work with compliance team to create, update and amend a system of
policies and procedures for Supervisors, Client Advisors, and
Assistants.
- Work with compliance team coordinating internal training on policies
and procedures for all AWM associates.
- Make required filings with appropriate government agencies (FINRA,
OCC, SEC) regarding licensing, examinations, continuing education,
and state registrations.
- Assist internal and external regulatory examiners with audits and
exams.
- Attend training sessions & other meetings as requested.
- Understand and comply with bank policy, laws, regulations, and the
bank's BSA/AML Program, as applicable to your job duties. This
includes but is not limited to; complete compliance training and
adhere to internal procedures and controls; report any known
violations of compliance policy, laws, or regulations and report any
suspicious customer and/or account activity.
Supervisory Responsibilities
May supervise one or more associates. Carries out supervisory
responsibilities in accordance with the organizations policies and
applicable laws.
Responsibilities:
Toolbox for Success:
- Bachelors Degree in finance-related area or equivalent work or
military experience required.
- 6 years customer service experience required.
- 6 years of experience in trust or investment services required.
- Insurance license is required.
- Series 7 license is required.
- Series 66 license (or 63 & 65) is required.
- Series 24 license is required.
- 6 years in a compliance audit or compliance review related area
preferred.
- Strong level of knowledge of investment sales and trust services
business required.
- Relevant military experience is considered for veterans and
transitioning service members.
Physical Demands:
The associate must be able to travel occasionally by themselves within
the US, possibly overnight. Reasonable accommodations may be made to
enable qualified individuals with di abilities to perform the essential
functions.
We offer competitive compensation, benefits packages, and significant
professional growth.