Supervision Compliance Officer
Job Description
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
- 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!
Apply OnlinePosted: 5/16/2023
Job Status: Full Time
Job Reference #: a1U4V000002xDUnUAM