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About the Role
Oversee compliance monitoring of all transactions, tasks, and activities for Frost Brokerage Services. Evaluate the effectiveness of compliance controls supporting applicable laws, rules, and regulations, including anti-money laundering. Recommend policies and procedures to prevent unethical and illegal conduct.
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 all anti-money laundering monitoring for Brokerage.
- Update and maintain internal systems and databases.
- Provide guidance on complex compliance issues, including interpretation and application of relevant policies/guidelines.
- Respond to questions regarding licensing and registration requirements.
- Review and maintain appropriate documentation of all testing and client due diligence.
- Provide written reports to management.
- Assist management with planning of compliance testing and during compliance examinations by regulatory agencies.
- Take action using Integrity, Caring, and Excellence to achieve all-win outcomes.
Requirements
- Bachelor’s degree in a related field such as Business, Economics, Legal Studies, or Risk Management; or equivalent training/experience.
- 5+ years of compliance experience with a registered investment advisor, compliance-focused consultant, or audit practice required.
- Working knowledge and experience with the Investment Advisers Act of 1940.
- Strong time management, organizational, analytical, and problem-solving skills.
- Ability to provide alternative approaches and solutions.
- Ability to exhibit good judgment in escalating issues to the Chief Compliance Officer.
- Excellent written and verbal communication skills.
- Ability to present information to an audience.
Skills
- Series 65 or 66 license required
- FINRA Series 4, 53, and/or 99
- General Lines Agent License: Life, Accident, Health, and HMO
- CAMS designation
- CFP, CFA, or ChFC designation a plus
Location
- Onsite
Work Type
- Full-time
Experience Level
- 5+ years
Education Level
- Bachelor's degree
Benefits
- Medical, dental, vision, long-term disability, and life insurance
- 401(k) matching
- Generous holiday and paid time off schedule
- Tuition reimbursement
- Extensive health and wellness programs, including Employee Assistance Program
- Referral bonus program
About the Company
- Frost Investments is part of Frost, a financial institution with over 150 years of legacy.
- Frost is committed to fostering an environment that reflects its values and encourages team members to be the best they can be.
- Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction.
- Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas.