Attorney in San Antonio, TX

In-House

San Antonio, TX

Attorney in San Antonio, TX

Non-practicing Attorney

Min 5 yrs required

No

Compliance Officer

Job Title: Compliance Officer

Job Responsibilities:
As a Compliance Officer at the company, you will be an integral part of a team of legal and compliance professionals responsible for providing centralized regulatory support and guidance to institutional, intermediary, and direct-to-consumer channels. Your key responsibilities will include:

- Maintaining and enhancing the broker-dealer compliance program, ensuring it aligns with regulatory standards and company policies.
- Representing the broker-dealer in regulatory examinations and inquiries, acting as the primary point of contact for regulatory bodies.
- Creating and adopting expanded compliance procedures to support new lines of business, with a particular focus on retail product and service offerings.
- Advising various business partners on risk and compliance matters, providing expert guidance to ensure adherence to regulatory requirements.
- Overseeing training and supervision for approximately 200 registered representatives and 100 non-registered transfer agent representatives, ensuring they are well-informed of compliance standards.
- Coordinating and conducting compliance testing, monitoring, and reporting, including the preparation of 3120 testing and 3130 reports for the broker-dealer executive officer, board, and the boards of the company's mutual funds.
- Reviewing marketing materials for a diverse suite of products, including mutual funds, ETFs, private funds, advisory services, and separately managed accounts, to ensure compliance with regulatory standards.

Education and Experience Information:
To be considered for the Compliance Officer position, candidates should meet the following education and experience requirements:

- 5+ years of experience as a compliance professional is preferred but not required.
- Broker-dealer experience is preferred but not mandatory.
- Experience with mutual funds, ETFs, and other investment products is desirable.
- Knowledge of FINRA rules and regulations and experience engaging with regulators is important.
- Experience reviewing and approving marketing materials is beneficial.
- Experience with the development, maintenance, testing, and annual reporting of a compliance program under FINRA Rules 3120/3130 is advantageous.
- FINRA Series 7, 24 licenses are required or must be obtained within 90 days of hire.
- An MBA, advanced risk/compliance certification (CIA, CRMA, CRCP), or Juris Doctorate is preferred but not required.

Salary Information:
The target base salary range for the Compliance Officer position is $85,000 - $110,000. Salaries are determined based on various factors, including internal equity, internal salary ranges, market data/ranges, applicant’s skills and prior relevant experience, and certain degrees and certifications. The company operates a pay-for-performance compensation philosophy, meaning total compensation may vary based on role, location, department, and individual performance. The total compensation package includes the opportunity for annual compensation bonuses and/or commissions, along with a generous benefits package.

Benefits:
The company offers excellent Medical, Dental, and Vision plans, Flexible PTO, Family Medical and Disability Leaves, Education Tuition Reimbursement, and a 401k plan with a generous employer match.

Equal Opportunity Employer:
The company is committed to equal employment opportunity without regard to any characteristic protected by applicable federal, state, or local laws and ordinances. This includes race, color, creed, religion, national origin, ancestry, citizenship status, age, sex or gender, gender identity or expression, sexual orientation, marital status, military service and veteran status, physical or mental disability, genetic information, height, weight, hair texture, or a hairstyle historically associated with race. The employer is required to notify all applicants of their rights pursuant to federal employment laws and encourages them to review the Know Your Rights notice from the Department of Labor.