Investment Management Firm

DOE

Dallas, TX

KEY JOB FUNCTIONS
All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to the following:

• Trains Financial Advisors and staff on securities regulations and responds to inquiries on same.
  
  
• Reviews prospective Financial Advisor U4 applications and approves or declines affiliation based on established criteria.
  
  
• Reviews outside activities and monitors personal accounts of Financial Advisors.
  
  
• Oversees Financial Advisor and employee activities to monitor for compliance with various state and federal securities rules and regulations.
  
  
• Monitors, reviews, and approves Financial Advisors’ correspondence and marketing materials.
  
  
• Conducts branch office inspections.
  
  
• Presents compliance sessions at MATRIX training, New Employee Orientation and WIN teams.

ADDITIONAL FUNCTIONS

• May contribute articles to compliance bulletins and create other educational training materials for use with Advisors and staff.
  
  
• May help train new employees
  
  
• May perform special projects, as assigned.
  
  
• Assists other consultants with special projects.

QUALIFICATIONS

• Must have general knowledge of the FINRA and SEC regulations and general broker-dealer operations.
  
  
• A minimum of two years of compliance experience.
  
  
• Series 7, 24, and 66 securities licenses.
  
  
• College degree preferred.
  
  
• Must be able to travel 30% of the time.

SKILLS

• Must have excellent verbal and written communication skills, along with excellent presentation skills.