Investments Compliance Officer
Frost Bank • Houston, TX12d
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Investments Compliance Officer
Frost Bank•Houston, TX
About The Position
As an Investments Compliance Officer with Frost Brokerage Services, you will oversee compliance monitoring of transactions, tasks, and activities. You will evaluate the effectiveness of compliance controls supporting applicable laws, rules, and regulations, including anti-money laundering requirements, and recommend policies and procedures to help prevent unethical and illegal conduct. The role also provides guidance on complex compliance matters and supports management with 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 provide alternative approaches and solutions and use good judgment in escalating issues to the Chief Compliance Officer.
- Excellent written and verbal communication skills and the ability to present information to an audience.
Nice To Haves
- 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.
- Respond to questions regarding licensing and registration requirements.
- Review and maintain appropriate documentation of testing and client due diligence.
- Provide written reports to management.
- Assist management with planning compliance testing and with compliance examinations by regulatory agencies.
- Act 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.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
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