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Bilingual Chief Compliance Officer
Houston, TX 77056 US
Posted: 03/09/2023 2023-03-09 2023-04-20 Industry: Professional Job Number: SC833477129
Bilingual Chief Compliance Officer
Zip Code: Houston, TX 77056 | Location: Galleria Area
Employment Type: Direct Hire | Workplace Type: On-site
Schedule: Monday – Friday, 8:00 am – 5:00 pm | Salary: $150,000 per year
An Investment Management and Brokerage firm in the Galleria area is seeking a Bilingual Chief Compliance Officer to join their team. As the Bilingual Chief Compliance Officer, you will be responsible for establishing and implementing a Compliance Program, collaborating with the investment department to ensure adherence towards regulatory market standards and customer disclosure to be suitable for clients, and maintaining the training and ethics regime. Whether now or later today, you do not want to miss an opportunity. Submit your resume today to see what opportunities are open for you!
Bilingual Chief Compliance Officer’s Responsibilities
- 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
Bilingual Chief Compliance Officer’s Qualifications
- 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
Company Culture & Perks
- 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!
Salary: $150,000 per year
If you seek a position that will take your career to the next level, don’t wait! Apply today!
With ExecuTeam Staffing, you are never just a resume. We have been proud to be Houston’s leading employment agency for over 30 years, acting as the trusted partner in your success. We offer Direct Hire, Temp-to-hire, and Temporary positions to allow you to choose the opportunities that best fit your needs. Whether you seek career advancement or are a recent graduate, our team will give you the respect, care, and attention you deserve. View more open positions at www.executeam.com
ExecuTeam is an affiliate of The Reserves Network, a family-owned and veteran-founded company. Since 1987, we have been a trusted partner to employers and job seekers in various industries and positions. As an equal-opportunity employer, we value our employees and foster an environment of respect, integrity, and trust in every aspect of employment. However you identify and whatever your background, we encourage you to apply today.