- Prepare, schedule and conduct Financial Advisor inspections in relation to First Command Broker/Dealer and Investment Advisory business to ensure compliance with applicable industry rules, firm supervisory procedures and policies.
- Thoroughly analyze data gathered in preparation for inspections and conduct targeted inspections due to industry or company compliance trends.
- Facilitate department internal investigations based on findings or noted areas of concern.
- Prepare inspection reports and ensure all noted deficiencies are adequately addressed within the branch office and advisor response in a timely manner..
- Participate in the development and revision of compliance policies and procedures
- Acts as the field's compliance resource for general compliance questions and related matters by providing onsite or remote training to educate Advisors and administrative personnel on compliance policies and procedures.
- Second-line Compliance review of internal inspections, transactions, and electronic communications as specified in FINRA Rule 3110 to ensure compliance with all applicable regulations, as well as company policies and procedures.
- Escalate identified complaints to the Quality Management Team and facilitate the investigation process between the Home Office and the Field.
- Evaluate the adequacy and effectiveness of workflows and inspection tools and assist in the development and enhancements to specific compliance related forms.
- Provide field intelligence to the Compliance Leadership for possible red-flags or risks to the firm.
- Serve as a liaison between the Compliance Department and the Field force.
- Assist with other duties as assigned.
- 50% travel required to field office locations throughout the U.S., Guam, and Europe.
- A bachelor's degree in relevant field required (industry experience may be considered in lieu of a degree)
- 3-5 years of compliance work experience in the financial services industry including knowledge of securities and insurance rules and regulations
- Series 7 and 24 preferred. Or, must be obtained within 90 days of receiving test materials.
- Series 51, 63, 65, Group I Insurance preferred
- Ability to effectively multitask and successfully work on several projects at the same time.
- Team player but possesses the ability to work independently when needed.
- Strong verbal and written communication skills.
- Ability to demonstrate problem-solving/analytical skills to assess the significance of findings and pursue them to their logical conclusion.
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Compliance Officer - Fort Worth, United States - First Command Financial Services
Description
Job DescriptionHow will your role impact First Command?
First Command Financial Services (FCFS) is seeking a Compliance Officer- Field Examiner that will be responsible for ensuring all Office of Supervisory Jurisdictions (OSJ), Registered Branch and Satellite offices are inspected in accordance with regulatory requirements and with FCFS specific Policies and Procedures. The Field Examiner serves as an integral part of the risk-based Compliance program by validating suitable recommendations, examining supervisory processes and controls, ensuring proper maintenance of books and records, supervising electronic communications and communicating/training on best practices in both the Field and Home Office.
What will you be doing?
Education
