On-Site Compliance Auditor & Advisor

PrimeLending; Dallas (TX); On-site; USD 60,000 - 80,000; Full time

Job summary

A leading financial services firm is seeking a Compliance Officer in Dallas, Texas. This full-time position involves conducting compliance inspections, resolving regulatory issues, and supporting training for firm associates. The ideal candidate will have a Bachelor's degree or equivalent financial services experience, along with the successful completion of SIE and Series 7 exams within a year. Strong communication skills and knowledge of compliance are essential for this role, which may require 30-40% travel.

Qualifications

• Bachelor's degree or equivalent experience in financial services.
• Knowledge of compliance and supervision issues.
• Completion of SIE and Series 7 required within a year.

Responsibilities

• Conduct on-site compliance inspections of branch locations.
• Detect and resolve compliance issues.
• Assist with regulatory education for associates.

Skills

Effective communication skills

Knowledge of compliance issues

Moderate computer skills

Education

Bachelor’s degree in business

Tools

Microsoft Office

SQL

Job description

A leading financial services firm is seeking a Compliance Officer in Dallas, Texas. This full-time position involves conducting compliance inspections, resolving regulatory issues, and supporting training for firm associates. The ideal candidate will have a Bachelor's degree or equivalent financial services experience, along with the successful completion of SIE and Series 7 exams within a year. Strong communication skills and knowledge of compliance are essential for this role, which may require 30-40% travel.