M.E. Allison & Co., Inc. San Antonio, TX
- Posted: over a month ago
- $85,000 to $105,000 Yearly
- Benefits: dental, medical, vision,
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.
• 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.
• 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!
950 E. Basse Rd.San Antonio, TX
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