Careers

x Compliance Analyst

Dallas, TX

Description

The Compliance Analyst provides support for various compliance functions, primarily general broker/dealer compliance tasks (advertising, correspondence review), exceptions report monitoring function and research support. The Compliance Analyst interacts with Advisors and Assistants to provide education on required procedures and to request information and documentation. The Compliance Analyst also works with the Compliance Consultants to provide support on projects, and the Compliance Attorney on preparing supporting documentation on complaints, arbitrations, and other legal issues.

Department

The Compliance Department is responsible for ensuring that all applicable FINRA and SEC regulations are met by 1st Global’s Financial Advisors and employees by keeping the Advisors informed about developments in the industry and at 1st Global and by providing ongoing compliance education and oversight.

Responsibilities

·         Serve as an assistant to the Compliance Surveillance Director

·         Provides research support to Compliance Attorney and acts as Compliance Administrative Assistant and Licensing Analyst back up support

·         Provide explanation of internal policies and procedures to Advisors/Assistants and responds to inquiries on same.

·         May contribute suggestions for more efficient procedures.

·         May perform special projects, as assigned.

·         Assists Compliance Consultants with special projects.

·         May contribute articles to compliance bulletins and create other educational training materials for use with Advisors and staff.

Functions

All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to the following:

·         Reviews and approves Advisors’ correspondence, sales literature and advertising materials to ensure it meets applicable FINRA standards. The Analyst is also responsible for reviewing all financial services communications and vendor materials.

·         Generate monthly exception reports and conduct due diligence on missing information to provide to the Compliance Surveillance Director for analysis.

·         Prepare and perform analysis various exception reports on a regular basis.

·         Generate ad hoc reports to ensure quality control tracking and to assist Compliance Surveillance Director identify trends.

·         Reviews personal accounts of Financial Advisors.

·         Review eligibility of Advisors/Assistants for reduced Errors & Omissions coverage and maintain record in the CRM system.

·         Assist in oversight of other home office processes, including Customer Identification Procedures.

·         Handle Group Client Event Reimbursements

Qualifications

·         College degree preferred.

·         A minimum of two years of compliance experience.

·         Series 7 and 24 licenses desirable

·         Must have general knowledge of the FINRA and SEC regulations and general broker-dealer operations.

·         Overtime may be required.

·         Minimal travel may be required.

Skills

·         Must have excellent verbal and written communication skills.

·         Must have strong attention to detail and ability to multi-task and prioritize jobs independently.

·         Must have the ability to adapt quickly to changes or increases in work load, procedures and duties.

·         Must be willing and effective at accomplishing tasks by working with others, including subordinates, peers and superiors.

·         Must have excellent computer skills, including proficiency in Excel and other MS Office applications.

Who We Are

1st Global assists CPA, tax and estate planning firms that provide wealth management services to emerging affluent and affluent families.

We deliver the capabilities essential for wealth management excellence: education, business-building expertise, thought leadership and innovative technology.

We support our affiliated firms to profitably and ethically better serve their clients, enabling them to honor the important promises they make.

Mission and Values