Compliance Manager (REMOTE)
Humans Being Resources
Compliance Manager Job, Remote or Dallas, TX
(Financial Services & Securities)
Our client’s Investment Firm / Broker-Dealer located in the
Dallas, TX
area is looking to add a key employee to the team. They are seeking a professional
Compliance Manager (REMOTE)
who is ready to grow and advance their career. If you want to join a team that has created a culture of excellence, this may be a good fit for you. Our client is looking for a success-oriented employee who has great people-skills, attention to detail and the compliance knowledge that will help maintain and grow their business. Having positive energy, integrity, and a “Team Player” mentality is a must!
MINIMUM QUALIFICATIONS
5+ years
of
Financial Services
experience in a
Compliance / Regulatory
role
2+ years
of
Broker Dealer Compliance
experience
2+ years
of
Supervision / Management
experience in a professional office environment
FINRA Series 24, 7 and 66 or 65/63 Licenses
(Active & In Good Standing)
Office & CRM Software
experience (Example: Salesforce, Redtail, DocuSign, Zoho, Etc.)
MS Office Products
experience (Example: Outlook, Excel, Power Point, Word, Etc.)
Must have availability for occasional trave to Dallas, TX Home Office
PREFERRED QUALIFICATIONS
FINRA Series 4
(Active & In Good Standing) is a plus
1+ years
of
AML
(Anti-Money Laundering) experience is a plus
Apex Technology Solutions
experience is a plus
Financial Services Software
experience (Example: Smart RIA, Wealthbox, MoneyGuidePro, eMoney, Etc.) is a plus
ROLE DESCRIPTION
As a
Compliance Manager (
RMOTE)
you will monitor and manage the daily compliance requirements of the Investment Firm. You will work directly with our client’s Chief Compliance Officer and President / CEO, providing assistance in the set-up and management of the Compliance Department, along with its policies and procedures through the following duties:
Provide direct operational support to the Chief Compliance Officer and President/CEO with initial set-up and compliance / regulatory operations as needed
Assisting the Chief Compliance Officer and President/CEO with resolving compliance and/or operational issues
Oversee the daily compliance duties of the Broker Dealer daily including account approval, AML monitoring and compliance, FINRA reporting and other duties required to achieve operational and compliance excellence
Work closely with the CCO in preparation and improvement of WSP’s and compliance rules across the broker dealer and act as a key advisor to the President/CEO.
Conduct meetings and/or team building sessions related to compliance and/or integration issues.
Initiate and track account set-ups, required forms/filings and transactions effectively (Example: New/Existing account processing, filings, data deadlines, etc.)
Identify processes and policies that require change in order to maintain compliance with laws and industry regulations
Assist the CCO in AML and other regulatory reporting
Ensure internal or external inquires and concerns are addressed and resolved
Provide thorough, high-quality research and solutions-based problem solving
Assist with data and integration updates within various compliance and industry related technology platforms
Through continuous training and education, maintain a firm understanding of regulatory requirements as related to the industry
REQUIRED SKILLS
Excellent interpersonal, written, and verbal communication
Self-directed initiative and follow through
Ability to thrive in a fast-paced, but fun office environment
Excellent organization & time management skills
Ability to adapt as situations or business demands change
High level of confidence, perseverance, and a desire to succeed in a goal-oriented environment
Attention to detail and ability to closely follow office processes & policies related to office operations
Ability to adapt as situations or business demands change
Willingness and desire to be part of a team environment and learn through a mentoring relationship
Ability to adhere to complex regulatory, compliance and client privacy requirements
COMPENSATION
$80,000 to $100,000 Annual Compensation
*Based Upon Experience, Licensing and/or Certifications*
Career Growth Opportunities & Mentorship Program
Healthcare Allowance + 401k w-Match
Great Work/Life Balance
(Primarily Remote Work Opportunity)
Generous PTO Policy & Paid Holidays
Presented by Humans Being Resources, Inc.
Thank you for your interest in the
Compliance Manager (REMOTE)
position for our client located in the
Dallas, TX
area. Humans Being Resources, Inc. is a Talent Acquisition and Personnel Solutions company. We are not a temp/staffing agency and at no point will you be applying for employment with our company. We assist our clients with their direct-hire, permanent-placement hiring needs. When being considered for this position, you may be asked to participate in personality profiling, skills assessments and/or phone/video interviews. If you feel that you meet the requirements for this position, please
submit your resume today
!