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Bilingual Chief Compliance Officer
Houston, TX 77056 US
Job Description
- Maintain all regulatory-required corporate governance and registration documents
- Create, implement, and oversee the firm’s Code of Ethics and Annual Training Plans
- Collaborate with the AML department to ensure USA Patriot Act and FACTA & Anti-Fraud requirements
- Assemble and meet with the Operations teams for reports and remediation of accurate trade errors.
- Create, implement, and oversee the firm’s WSPs and Compliance Manuals
- Review and approve Advertising and Communications as necessary
- Bachelor’s degree in Business Administration, Finance, Accounting, or a related field is required; A Master’s degree preferred
- A minimum of 7 years of experience leading a Compliance department for a broker-dealer within a registered investment advisor is preferred.
- Bilingual in English and Spanish required
- Series 7, 66, 24, and 53 Licenses are required.
- Experience drafting Written Supervisory Procedures, 3210 reports, Code of Ethics, SEC Audits, FINRA firm examinations, and Filing reports with FinCEN is required.
- Must have a strong understanding and knowledge of industry best practices and regulatory expectations for overall compliance and risk management of a financial services firm
- Must be able to pass a pre-employment drugs screen and criminal background check
- Located in the Galleria mall offers the convenience of restaurants and shopping nearby.
- Opportunity to develop skills and gain more experience
- Free parking with an onsite fitness center
- Metro Bus Accessible
- Monday thru Friday, 8 am to 5 pm work schedule with limited evenings and NO WEEKENDS!
- Once hired, you are eligible to enroll in the company’s comprehensive benefits package, which includes a 401k plan with a chance of a 10% company match, medical, dental, vision, and life insurance, and long-term and short-term disability plans!
Meet Your Recruiter
Shannon Coleman, CPC
Senior Staffing Consultant
Shannon has lived in Houston for over twenty years and considers the big city her home. Growing up in Beaumont, Shannon graduated from Lamar University with a degree in Business Administration. After successful careers with Ford Motor Credit and the Houston Chronicle, Shannon joined ExecuTeam in 2015 and her CPC (Certified Personnel Consultant) Certification shortly thereafter. With over 7 years’ experience in the staffing industry, Shannon specializes in Accounting & Finance, Human Resources, Administrative Support, and Customer Service. Shannon maintains open lines of communication with her clients and candidates. She displays a passion to help others succeed and is 100% committed to providing excellent customer service and respect. Shannon excited by the challenge of recruiting for a variety of positions and finds this to be her fulfilling job, as she can help candidates achieve greater opportunities.