Equity Administrative Services

Equity Administrative Services

Senior Compliance Officer

Dallas · Senior

Sponsorship not specifiedDetected 31 days ago
ComplianceCRMExcelVendor ManagementLeadershipCommunicationMicrosoft Office

About the role

  • This position oversees the management of both internal and external compliance and risk obligations.
  • This role is part of the Risk and Compliance leadership team.

Responsibilities

  • Supports the management of the firm's Anti-Money Laundering (AML) program, including periodic account reviews, transaction monitoring, and adherence to regulatory obligations.
  • Identifies potential compliance issues, investigate root causes, and provide actionable recommendations to mitigate risks or implement corrective actions.
  • Maintains thorough and organized documentation of compliance activities, such as customer complaints, investigation findings, and corrective measures implemented.
  • Collaborates with the CCO and other departments to respond to regulatory requests, coordinate audits, and implement compliance initiatives across the organization.
  • Manages the regular review and updating of the firm's Written Supervisory Procedures (WSPs) to ensure alignment with regulatory requirements and industry best practices.
  • Performs additional compliance responsibilities or special projects as assigned, contributing to the firm's evolving regulatory and operational needs.

Requirements

  • Product Expertise: Comprehensive knowledge of financial products, including equities, mutual funds, bonds, options, and alternative investments.
  • Industry Insight: Extensive working knowledge of the brokerage and investment advisory business, including the regulatory environment, operational processes, and services related to the industry.
  • Bachelor's degree in business administration, finance, law, or a related field is required.
  • Comprehensive knowledge of financial products, including equities, mutual funds, bonds, options, and alternative investments.
  • Extensive working knowledge of the brokerage and investment advisory business, including the regulatory environment, operational processes, and services related to the industry.
  • Minimum Experience: At least 5-7 years of progressive experience in brokerage industry compliance, risk or supervisory roles, with a proven ability to manage risk or regulatory obligations and supervisory controls effectively.
  • Education: Bachelor's degree in business administration, finance, law, or a related field is required.
  • Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulatory requirements or financial risk concepts and practices related to credit, counterparty or exposure monitoring, with demonstrated experience interpreting and applying these rules to broker-dealer operations.
  • Specialized Experience: Prior experience working within a self-clearing or correspondent clearing environment serving introducing broker dealers or registered investment advisor intermediary clients
  • If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA. In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements. These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days.

Nice to have

  • FINRA Series 7, 24, and 63 securities licenses.
  • Series 4, 14, 51 or 53 securities licenses preferred.
  • If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA.
  • In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements.
  • These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days.

Skills

  • To be successful in this role, you should have experience with and an understanding of the following:
  • Proficiency in compliance tools and software systems such as FIS and Lexis Nexis.
  • Advanced skills in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
  • Familiarity with surveillance and monitoring tools, regulatory reporting systems, and CRM platforms.
  • Various Fintech offerings (FIS, Hadrius, Smarsh, Protegent, others) required
  • respect,
  • empowerment,
  • innovation,
  • integrity,
  • trust, and
  • accountability
  • We believe that our core values-rooted in

Compensation

  • Manages the firm's annual compliance calendar, ensuring all regulatory and risk deadlines and internal compliance obligations are met efficiently and on time.

Benefits

  • Provides ongoing education and clear guidance to employees regarding the firm's compliance policies, procedures, and regulatory responsibilities.
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This listing is sourced directly from Equity Administrative Services's careers page and normalized into a canonical job model.