Job Description

CornerStone has partnered with a local financial services company in their search for a Supervision Compliance Officer will review all the advisors interaction; trades, recommendations to clients, suitability of the recommendation, correspondence and communications with clients, advertising, paperwork, etc. They will conduct quality reviews on all functions; field examination, compliance operations and AML. 
Requirements of the Supervision Compliance Officer:
  • Bachelor's Degree required in a related field or extensive industry experience
  • Must have Series 7, 24 and SIE
  • Extensive knowledge of compliance and regulatory requirements
  • Must be able to handle the preparation of Annual CEO Certifications reports specified under annual requirements such as FINRA Rule 3130
  • Identify and recommend ideas for process and procedure improvement and release updates on requirements to the team
  • Prefer someone with prior broker / dealer experience
  • Must have excellent written and oral communications skills
  • U4 and U5 will be reviewed
Benefits of the Supervision 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 and call 817-635-0500X162 for immediate consideration.


Application Instructions

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