Field Compliance Officer from Cornerstone
Fort Worth, TX
About the Job
Job Title: Compliance Officer – Field Examiner
Location: Fort Worth, TX
Travel Requirement: Approximately 40-60%
About the Opportunity:
Are you an experienced compliance professional with a passion for ensuring regulatory excellence? We’re seeking a Compliance Officer – Field Examiner to join our team! In this role, you will be responsible for conducting inspections, maintaining compliance with industry rules and regulations, and fostering a culture of compliance. Your work will play an integral part in validating suitable recommendations, analyzing supervisory processes, and supporting compliance efforts across the field and home office.
Key Responsibilities:
As a Field Compliance Officer you will:
- Prepare, schedule, and conduct Financial Advisor inspections to ensure compliance with industry rules, supervisory procedures, and firm policies.
- Analyze data to prepare for targeted inspections based on industry or company trends.
- Facilitate and support department investigations based on inspection findings.
- Draft detailed inspection reports and ensure noted deficiencies are promptly addressed.
- Assist in developing and revising compliance policies and procedures.
- Serve as a compliance resource by providing training and education to Advisors and administrative personnel.
- Perform second-line compliance reviews, including inspections, transactions, and electronic communications, to ensure regulatory compliance.
- Escalate complaints to the Quality Management Team and coordinate investigations between the Home Office and the Field.
- Evaluate workflows and tools to recommend improvements for compliance-related processes.
- Provide intelligence to Compliance
Must Have:
• Series 7 and 24 preferred. Or, must be obtained within 90 days of receiving test materials.
• Series 51, 63, 65, Group I Insurance preferred
• 3-5 years of compliance work experience in the financial services industry including knowledge of securities and insurance rules and regulations
• Ability to travel approximately 40-60% travel required to field office locations
Benefits for the Field Compliance Officer:
- PTO (sick/vacation)
- ESOP Contribution
- 2 Days Volunteer PTO
- Tuition reimbursement
- Covered Parking
- Free financial planning
- Free on-site fitness center with exercise classes.
- Discounted personal training and massage therapy is available
- Free basic life, short and long term disability and an employee assistance program
- Company contributions to a Health Savings Account for the high deductible medical plan
- Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
- Charitable services and volunteer opportunities
- Year-over-year gold winner of the American Heart Association Fit Friendly company
- Library privileges
- Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
- A career development program
- In-house training courses ranging from leadership development to basic computer skills
- Employee recognition programs and quarterly all-employee luncheons
- Yearly family social events
If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration
Salary
90,000 - 120,000 /year
Bonus up to 15%
Bonus up to 15%