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FBS Compliance Officer


FBS Compliance Officer

FBS Compliance Officer

Frost Bank
San Antonio, TX

Job details

Job Type

Full-time

As a Compliance Officer with Frost Brokerage Services, you will be responsible for overseeing compliance monitoring of all transactions, tasks, and activities for Frost Brokerage Services (FBS). Responsibilities will include identifying suspicious activity by customers and/or registered representatives and researching accordingly; reporting findings and conclusions to management; working with other lines of business in order to conduct all anti-money laundering monitoring for Brokerage; monitoring licensing, registration, and continuing education for individuals and branches to ensure compliance with state and federal laws and regulations; making recommendations to management regarding policies and procedures; updating and maintaining internal systems and databases as needed; reviewing and maintaining appropriate documentation of all testing and client due diligence; and providing written reports to management. The candidate will evaluate the effectiveness of compliance controls that support applicable laws, rules, and regulations, including those regarding anti-money laundering; and recommend policies and procedures intended to prevent unethical and illegal conduct.

Required:

  • Bachelor's degree, preferably in Finance or Accounting, or equivalent work experience within a broker-dealer
  • 5+ years experience in a broker-dealer compliance related function
  • FINRA Series 24, 7, and 63; or, the ability to obtain these registrations within six months of hire
  • Ability to work under pressure and meet deadlines
  • Independent thinking and decision making skills
  • Proficient in Microsoft computer applications
  • Excellent written and verbal communication skills

Preferred:

  • FINRA Series 4, 53, and/or 99
  • General Lines Agent License: Life, Accident, Health, and HMO
  • CAMS designation

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Hiring for this role


• Mobile: NA

• Location: NA

• Post ID: 21430512


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