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Compliance Officer

M.E. Allison & Co., Inc. San Antonio, TX

  • Posted: over a month ago
  • $85,000 to $105,000 Yearly
  • Full-Time
  • Benefits: dental, medical, vision,
Job Description

 

 

 

Compliance Officer

M.E. Allison & Co., Inc.

San Antonio, TX

 

 

Well established regional investment banking firm based in San Antonio, Texas seeking full-time Compliance Officer to facilitate all compliance needs for retail investment sales professionals.

 

ESSENTIAL JOB FUNCTIONS

•   Execute Compliance functions for firm. 

•   Coordinate all Clearing Firm updates. 

•   Conduct Compliance Training (Annual Compliance Meeting/Firm Element CE/Regulatory Element CE).

•   Communicate all regulatory updates to employees. 

•   Support Supervision function through Compliance Efforts. 

•   Execute regulatory filings (CRD/EDGAR/RTRS).   

•   Stay up to date on FINRA/MSRB/SEC/State of Texas rule updates/AML.

•   Create, execute, monitor and update all procedures.   

•   Work directly with President of firm on all matters. 

•   Ensure processes working efficiently and update as necessary. 

•   Track Investment Advisory Business and billing.

•   Ensure trade reporting is on time and accurate. 

•   Execute trades for money managers & retail clients when necessary.

 

REQUIREMENTS

•   Series 7,63/65 or 66, 24

•   Minimum 3 years Investment Industry Compliance experience.

•   Proficient with Microsoft Office.

•   Excellent time management and organizational skills.

•   Works well under pressure.

•   Able to multi task and track progress. 

 

PREFERRED

•   Familiar with Fidelity Custody & Clearing Solutions (Formerly NFS).

•   Proficient in Morningstar Office.

•   Series 53 and 4 Licensed or able to obtain within first year.

•   Experience in municipal securities, including new issues.

 

HOURS: 8:00am to 5:00pm - Monday through Friday

 

 

M.E. Allison & Co., Inc.

Why Work Here?
M.E. Allison & Co., Inc. is a great company that supports employees and helps them grow!

Address

950 E. Basse Rd.

San Antonio, TX
78209 USA

Industry

Business

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