Compliance Specialist
Allworth Airline Advisors (Formerly RAA), Dallas, Texas, United States, 75215
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.
Duties And Responsibilities
Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
Engages in proactive surveillance activities to detect and resolve potential compliance issues.
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-PX.
Qualifications
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
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.
Additional Notes We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package. 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. Typical reporting relationships are described, but actual relationships may vary in some instances. 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.
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Duties And Responsibilities
Assist in the ongoing implementation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
Engages in proactive surveillance activities to detect and resolve potential compliance issues.
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-PX.
Qualifications
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
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.
Additional Notes We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package. 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. Typical reporting relationships are described, but actual relationships may vary in some instances. 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.
#J-18808-Ljbffr