Regional Investments Compliance Leader

Frost; Austin (TX); On-site; USD 120,000 - 160,000; Full time

Benefits offered by this job

Medical, dental, vision

401(k) matching

PTO - generous holidays and time off

Tuition reimbursement

Wellness programs

Referral bonus

Job summary

Frost is seeking an Investments Regional Supervision Principal in Texas to ensure branch compliance with policies and regulations while partnering with sales to implement risk-aware strategies. You’ll drive improvements, oversee performance, and report results to senior management.

This role requires staying informed on industry trends and regulatory changes, with periodic travel across branches. The position emphasizes integrity, collaboration, and a commitment to delivering top-tier

Qualifications

• Bachelor’s degree or equivalent experience.
• Strong knowledge of financial products, services and regulatory environment.
• Excellent written and verbal communication skills.
• Proficient in Microsoft Office applications.

Responsibilities

• Oversee operations and compliance of Frost’s regional branches.
• Ensure branches adhere to company policies and regulatory guidelines.
• Identify and mitigate risks within the branches.
• Collaborate with sales to develop compliance strategies.
• Monitor branch performance and provide improvement guidance.
• Prepare reports/presentations on branch performance for senior management.
• Stay current with industry developments and regulations.
• Travel periodically for in-person team meetings.

Skills

Management & supervision

Attention to detail

Communication

Regulatory knowledge

Education

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

Tools

Microsoft Office

Job description

Frost is seeking an Investments Regional Supervision Principal in Texas to ensure branch compliance with policies and regulations while partnering with sales to implement risk-aware strategies. You’ll drive improvements, oversee performance, and report results to senior management.

This role requires staying informed on industry trends and regulatory changes, with periodic travel across branches. The position emphasizes integrity, collaboration, and a commitment to delivering top-tier