Investments Compliance Officer

Frost • Houston, TX

13d

About The Position

The Investments Compliance Officer at Frost Brokerage Services oversees compliance monitoring of transactions, tasks, and activities. The role evaluates whether compliance controls support applicable laws, rules, and regulations, including anti-money laundering requirements, and recommends policies and procedures to prevent unethical or illegal conduct. It also provides guidance on complex compliance matters and supports compliance testing and regulatory examinations.

Requirements

• Bachelor’s degree in a related field such as Business, Economics, Legal Studies, or Risk Management, or equivalent training or experience.
• At least 5 years of compliance experience with a registered investment advisor, compliance-focused consultant, or audit practice.
• Working knowledge and experience with the Investment Advisers Act of 1940.
• Series 65 or 66 license required.
• Strong time management, organizational, analytical, and problem-solving skills, including the ability to offer alternative approaches and solutions and exercise good judgment when escalating issues to the Chief Compliance Officer.
• Excellent written and verbal communication skills and ability to present information to an audience.

Nice To Haves

• A qualifying professional designation such as CFP, CFA, or ChFC.
• FINRA Series 4, 53, and/or 99.
• General Lines Agent License: Life, Accident, Health, and HMO.
• CAMS designation.

Responsibilities

• Monitor licensing, registration, and continuing education for individuals and branches to ensure compliance with state and federal laws and regulations.
• Work with other lines of business to conduct anti-money laundering monitoring for Brokerage.
• Update and maintain internal systems and databases as needed.
• Provide guidance on complex compliance issues, including interpreting and applying relevant policies and guidelines, and answer questions about licensing and registration requirements.
• Review and maintain appropriate documentation of testing and client due diligence, and provide written reports to management.
• Assist management with planning compliance testing and during compliance examinations by regulatory agencies.
• Take action with integrity, caring, and excellence to achieve all-win outcomes.

Benefits

• Medical, dental, vision, long-term disability, and life insurance.
• 401(k) matching.
• Generous holiday and paid time off schedule.
• Tuition reimbursement.
• Health and wellness programs, including an Employee Assistance Program.
• Referral bonus program.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior