Broker Dealer Compliance Officer

San Antonio, TX

Employment Type: Direct Hire Category: Commercial Banking Job Number: 21738

Compliance Officer

Location: San Antonio, TX

  • Over 50 years of stability in San Antonio with a respected brand
  • Opportunity to grow with a well-established Firm
  • Close knit team, family-oriented environment

  • Facilitate compliance needs for investment sales professionals
  • Develop and maintain systems and processes to ensure ongoing audits, reviews and follow up on compliance practices
  • Execute trades for clients and money managers
  • Draft and implement effective compliance program
  • Ensure President, management, and employers are in compliance with the rules and regulations of regulatory agencies, and that company policies and procedures are being followed

  • Bachelor’ s Degree with three years’ experience in investment banking  
  • Proficiency in MS Office Suite to include understanding of bank technology systems and requirements
  • Strong knowledge in laws, compliance, and regulations
  • Detail-oriented with excellent written and verbal communication
  • Series 7/63 and IA License

  • Compliance certification, preferred
  • Series 24, 53, and 4 Licenses or able to obtain within the first year

For a Confidential Conversation and/or Personal Meeting regarding this outstanding career opportunity please contact:

Amanda Johnson-Schroeder | 210.494.1000 |

Send an email reminder to:

Share This Job:

Related Jobs:

Login to save this search and get notified of similar positions.