Compliance Advisor I

San Antonio, TX 78232

Posted: 09/10/2019 Job Number: 16559

Job Description

Compliance Advisor I

Job Description Summary

Reviews laws and regulations for business impact and completes risk assessments. Under minimal supervision, performs moderately complex to complex work assignments and problem resolution within a CoSA and enterprise-wide projects. Guides the business on compliance strategy implementation in the pursuit of business solutions.

Job Description
  • Conducts reviews of laws and regulations for business impact.
  • Completes accurate risk assessments, develops recommendations and coordinates with appropriate counsel.
  • Serves as a resource to less experienced team members on escalated issues of a routine nature.
  • Utilizes strong leadership skills in interacting with counsel, customers or team members.
  • Builds processes and relationships that facilitate productive teamwork.
  • Provides compliance input on business action plans, projects or operational requests.
  • Gathers information, analyzes data trends, identifies root cause(s), and provides information to the business or project teams.
  • Serves as the subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy.
  • Provides industry knowledge and/or skills expertise for work assignments.
  • Identifies outstanding compliance issues and oversees proper implementation of business requirements.
  • Demonstrates knowledge of how own area links to other key areas of the company and identifies new ways of doing business.
  • Monitors and assures compliance with regulatory requirements reporting and maintains relationships with regulatory agencies as directed.
  • Coordinate and responds to regulatory requirements and requests.
  • Conducts compliance assessments through self-assessment program and examinations.

Minimum Requirements
  • Bachelor s degree or 4 additional years of related experience beyond the minimum required may be in lieu of a degree.
  • 4 or more years work experience in compliance and/or operations with a broker dealer and/or investment advisor including preparation and testing of procedures and reports.
  • Advanced knowledge of relevant regulatory data sources
  • Advanced knowledge of data analysis tools and techniques
  • Advanced knowledge of relevant industry regulations
  • Advanced knowledge of regulatory compliance
  • Advanced knowledge of Microsoft Office tools to include Word, Excel and PowerPoint.

  • Knowledge of all types of Investment portfolios to include Equity, Fixed Income, Derivatives, etc.
  • Experience performing auditing, testing or quality assurance of processes and procedures.
  • Experience coordinating with regulators to include FINRA, SEC, Federal Reserve, FDIC, OCC and CFTC.

Meet Your Recruiter

Brad Jowers

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