Job Description

Job Title: Compliance Officer - Field Examiner

Location: Fort Worth, TX
Travel Requirement: Approximately 40-60%

About the Opportunity:
Are you an experienced compliance professional with a passion for ensuring regulatory excellence? We’re seeking a Compliance Officer - Field Examiner to join our team! In this role, you will be responsible for conducting inspections, maintaining compliance with industry rules and regulations, and fostering a culture of compliance. Your work will play an integral part in validating suitable recommendations, analyzing supervisory processes, and supporting compliance efforts across the field and home office.

Key Responsibilities:
As a Field Compliance Officer you will:

  • Prepare, schedule, and conduct Financial Advisor inspections to ensure compliance with industry rules, supervisory procedures, and firm policies.
  • Analyze data to prepare for targeted inspections based on industry or company trends.
  • Facilitate and support department investigations based on inspection findings.
  • Draft detailed inspection reports and ensure noted deficiencies are promptly addressed.
  • Assist in developing and revising compliance policies and procedures.
  • Serve as a compliance resource by providing training and education to Advisors and administrative personnel.
  • Perform second-line compliance reviews, including inspections, transactions, and electronic communications, to ensure regulatory compliance.
  • Escalate complaints to the Quality Management Team and coordinate investigations between the Home Office and the Field.
  • Evaluate workflows and tools to recommend improvements for compliance-related processes.
  • Provide intelligence to Compliance
Benefits for the Field Compliance Officer: 
  •  PTO (sick/vacation)
  •  ESOP Contribution 
  •  2 Days Volunteer PTO
  •  Tuition reimbursement
  •  Covered Parking
  •  Free financial planning
  •  Free on-site fitness center with exercise classes.
  •  Discounted personal training and massage therapy is available
  •  Free basic life, short and long term disability and an employee assistance program
  •  Company contributions to a Health Savings Account for the high deductible medical plan
  •  Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
  •  Charitable services and volunteer opportunities
  •  Year-over-year gold winner of the American Heart Association Fit Friendly company
  •  Library privileges 
  •  Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
  •  A career development program
  •  In-house training courses ranging from leadership development to basic computer skills
  •  Employee recognition programs and quarterly all-employee luncheons
  •  Yearly family social events
     
    If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration

 

Application Instructions

Please click on the link below to apply for this position. A new window will open and direct you to apply at our corporate careers page. We look forward to hearing from you!

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