Senior Compliance Officer
Houston, TX, USA | Travel Guard
Industry:Insurance - General
Functions:Legal / Compliance
Job Description:78 people have viewed this job
This individual will report to the Group Retirement Chief Compliance Officer and will be responsible for overseeing the VFA Surveillance program including, but not limited to, the following functions.
Oversee the VFA Surveillance program and activities to ensure compliance with appropriate laws and regulations while effectively mitigating risk.
Develop/enhance risk-focused and exception based testing that remains flexible in order to adapt to changing regulatory and business demands.
Conduct periodic review of the program and staffing to ensure continuous and appropriate surveillance processes and support.
Periodically assess staffing and address proficiency, capacity and training needs.
Assess and enhance systems critical to the branch exam program and consider streamlining and automation, where possible.
Develop and/or enhance surveillance methodology and maintain departmental procedures and guidelines.
Conduct quality assurance on team deliverables and reports.
Handle escalated reviews and/or escalate significant matters to senior management.
Partner with the Firm’s senior management, supervision, legal and operations teams to communicate trending, metrics and areas of focus.
Ensure timely and appropriate reporting of risk and remediation of issues.
Facilitate meetings and periodic reporting to the VFA CCO and other stakeholders.
Assist with regulatory exams and internal testing and audits.
Keep apprised of current industry trends to help ensure proper checks and balances are in place.
Ensure department expenses are aligned with budgetary and expense goals.
Bachelor’s degree preferred;
5-7 years of experience in the financial securities industry.
Must have knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds; experience with Group Plan business is a plus.
FINRA licensed strongly preferred - Series 7 and 24 preferred.
Proficient in MS Office Suite; Strong MS Excel and/or database proficiency is required.
Experienced leader with 3-5 years of management experience.
Must be strategic, adaptable and have the ability to see the big picture.
Must be detail-oriented, intuitive and have the ability to handle a high volume of work independently.
Must have effective communication skills with the ability to articulate concern(s), both written and verbal.
Ability to analyze data and to think through complex Compliance issues.
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