Compliance Specialist - Dallas
1 day ago
Job description
Summary
The Compliance Specialist position is responsible for assisting with the administration of the compliance program for Allworth Financial, an SEC Registered Investment Adviser, and AW Securities, a FINRA registered broker/dealer.
Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
Assist with the implementation and maintenance of the firm's anti-money laundering program.
Receives and reviews requests for marketing and advertising review and approval
Assists with inquiries from internal business partners regarding Compliance related issues.
Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of issues.
Assists in communicating the compliance program for the organization, including promoting awareness of policies and procedures, and further understanding of new and existing compliance issues.
Assists in the filing and monitoring of registration (including continuing education and ethics requirements) and memberships of the Company and all relevant associates stay current.
Prepare and submit regulatory filings including SEC Forms 13F, 13H and Form N-PXQualifications
Bachelor's degree (B.A.) in a related discipline
Three (3-5) years of experience working with investment advisor and broker/dealer compliance issues, including review and oversight of independent investment advisors and registered representatives.
Strong working knowledge of FINRA, SEC and state regulations including Investment Adviser's Act of 1940.Securities Licenses:
Series 7, 24, 63 and 65 or 66 are required.
Experience reviewing and approving complex marketing materials
Experience with industry specific technology platforms and vendors (Hadrius, QuestCE, WebCE, EDGAR)
Experience with GIPS reporting standards beneficial
Benefits
We value our associates' time and effort.
Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:
Medical:
Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
Dental insurance with MetLife
Vision insurance with VSP
Optional supplemental benefits
Healthcare savings accounts with company contribution
Flexible spending accounts
Flexible working arrangements
Generous 401K contributions
Exempt associates qualify for our flexible paid time off policy
Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment
11 Paid Holidays
Option to participate in our Equity Purchase Program
Future growth opportunities within the company
In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm.
We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.
Benefits are available to full-time associates who work more than 30 hours a week.
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.
This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.
Allworth Financial participates in E-Verify. Click here for more information.California residents, click here for our privacy policy.
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