Regional Investments Compliance Leader

Frost Bank; Austin (TX); On-site; USD 120,000 - 150,000; Full time

Benefits offered by this job

Medical insurance

401(k) matching

Paid time off

Tuition reimbursement

Wellness programs

Job summary

Frost Bank is seeking an Investments Regional Supervision Principal to oversee regional branches, ensure policy adherence and regulatory compliance across Texas, and work with sales to implement compliant strategies.

The role focuses on mitigating risks, improving branch performance, and reporting outcomes to senior management. Periodic travel is required; ideal candidates hold relevant FINRA licenses and a Texas life/health line license or the ability to obtain them promptly.

Qualifications

• Bachelor’s degree in business administration, finance, or related field or equivalent experience.
• 4+ years of management and supervision of financial services branches.
• Strong knowledge of financial products, services and regulatory environment.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office applications.
• FINRA Series 7 and 65 or 66; Series 24 or 9/10 plus 53 when applicable or obtainable within 120 days.
• Texas General Lines Agent License: Life, Accident, Health and HMO or obtainable within 90 days.
• Additional: FINRA Series 4.

Responsibilities

• Oversee operations and compliance of regional branches.
• Ensure branches adhere to policies and regulatory guidelines.
• Identify and mitigate risks within branches.
• Collaborate with sales to develop compliant strategies.
• Monitor branch performance and provide guidance to improve results.
• Prepare reports for senior management on branch performance.
• Stay updated on industry developments and regulations.
• Collaborate with compliance and risk teams to mitigate risks.
• Travel periodically for in-person team meetings.
• Act with integrity, care and excellence to achieve outcomes.

Skills

Leadership

Communication skills

Regulatory knowledge

Travel readiness

Education

Bachelor’s degree in business administration, finance, or related field

Tools

Microsoft Office

FINRA Series 7/65/66

FINRA Series 24/9/10

Series 53 (required or within 120 days)

Series 4

Texas General Lines Life/Accident/Health/HMO license or within 90 days

Job description

Frost Bank is seeking an Investments Regional Supervision Principal to oversee regional branches, ensure policy adherence and regulatory compliance across Texas, and work with sales to implement compliant strategies.

The role focuses on mitigating risks, improving branch performance, and reporting outcomes to senior management. Periodic travel is required; ideal candidates hold relevant FINRA licenses and a Texas life/health line license or the ability to obtain them promptly.