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Private Wealth Advisors Compliance Officer (Assistant Vice President)

Company: Texas Capital
Location: Dallas
Posted on: September 21, 2023

Job Description:

Private Wealth Advisors Compliance Officer (Assistant Vice President) page is loaded Private Wealth Advisors Compliance Officer (Assistant Vice President) Apply locations Dallas, TX time type Full time posted on Posted 2 Days Ago job requisition id JR100697 Texas Capital Bank is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big banks at a scale that makes sense for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow. -
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While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital Bank, we do more than build business success. We build long lasting relationships. Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital Bank was recently named the #1 most trusted bank in the country on Newsweek's inaugural list of America's Most Trusted Companies. For more information about joining our team, please visit us at https://www.texascapitalbank.com . Brief Overview of PositionThe Private Wealth Compliance Officer (Vice President) will help support the Private Wealth organization, including the Registered Investment Adviser (RIA), and Trust and Estate businesses, in complying with applicable laws and regulations and mitigating overall regulatory and compliance risk while serving in an advisory and oversight capacity. -Responsibilities

  • Assist in the design, development, delivery and maintenance of Compliance program for the Private Wealth business including the Registered Investment Adviser, Trust and Estate and Private Banking departments by: enabling the identification, communication and operationalization of applicable federal and state investment and trust regulations, fostering an understanding of associated compliance risk(s) across the organization, as applicable, and influencing the development of suitable risk mitigation strategies.
  • Maintain, update and synchronize the firm's Compliance written policies, procedures and documents (i.e. Compliance Manual, organization charts, and/or operational process documents)
  • Coordinate with the firm's registered associates and third-party compliance vendors as needed to complete U4,U5 and other filings.
  • Provide support to the Investment Advisor ethics program, including employee trading activities, OBA's, political contributions, social media activities, etc.
  • Assist with regulatory inquiries and/or examinations, including oversight of internal and external audit and risk reviews on behalf of the business.
  • Assist with preparation and ensuring the timely and accurate filing of all regulatory reports.
  • Assist in the development and administration of compliance training for the supported business.
  • Research applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with the rules. -
  • Participate in testing compliance procedures, internal controls and performing mock audits as directed.
  • Partner effectively across all levels of the organization and develop positive working relationships.
  • Analyze and evaluate risks, escalate recommendations, and influence change.
  • Make informed decisions and take quick and strategic action.
  • Maintain comprehensive industry and market knowledge with expertise in industry vertical or specialty.
  • Provide onboarding support for new products or technology adopted by the business, including the identification of relevant risks and controls.
  • Manage and execute multiple complex projects within required timelines.Qualifications
    • A bachelor's degree in finance, economics, accounting, business administration or numerical discipline.
    • 10+ of experience in the financial services industry; specific knowledge of Registered Investment Adviser or Broker-Dealer experience.
    • Knowledge of U.S. securities laws & regulations, as well as SRO rules.
    • Series 7 and 65/66 is preferred, if not expected to get within 12 months into the role.
    • Past FINRA or SEC regulator experience is preferred.
    • Knowledge of U.S. securities laws & regulations, as well as SRO rules (required)
    • Effective communication skills, ability to cultivate business relationships and gain trust to achieve a strong compliance program. -
    • Motivated, diligent, conscientious, highly organized, detail-oriented work ethic, and ability to drive tasks to completion.
    • Excellent verbal and writing skills.The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy. Similar Jobs (1) Enterprise Risk Sr Analyst locations Dallas, TX time type Full time posted on Posted 30+ Days Ago About Texas Capital Bank Texas Capital Bank is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big banks at a scale that makes sense for our clients, with highly experienced bankers who truly invest in people's success - today and tomorrow.
      While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment - investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital Bank, we do more than build business success. We build long lasting relationships.

      Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital Bank was recently named the #1 most trusted bank in the country on Newsweek's inaugural list of America's Most Trusted Companies
      #J-18808-Ljbffr

Keywords: Texas Capital, Dallas , Private Wealth Advisors Compliance Officer (Assistant Vice President), Executive , Dallas, Texas

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