Equity Trust Company · 6 days ago
Chief Compliance Officer
Dallas, TX 75240
Full-time
Onsite
Director/Executive
10+ years expEquity Trust Company is seeking a Chief Compliance Officer to direct all aspects of their Brokerage Services compliance affairs. The role involves overseeing regulatory compliance programs and serving as a liaison for the Executive Team, Board of Directors, and external regulators.
Financial Services
Responsibilities
Monitors compliance with Company policy and regulatory guidelines to ensure compliance with FINRA, SEC, MSRB, State regulations, and all other applicable requirements as mandated by regulation or firm policy
Directs a staff of Compliance Professional(s) to assist in executing regulatory requirements and focuses on the development of such staff
Provides periodic reporting and updates to senior management and the Board of Directors on the Company’s current Compliance and Risk Management efforts
Serves as a resource to the Board, senior management, and department heads regarding applicable regulatory requirements, quality controls, internal controls, communications, reporting and management information systems, monitoring, and process improvements
Manages the firm’s Compliance Program, including CIP, BSA/AML, OFAC, SAR, CAT and FinCEN reporting
Communicates with the Company’s internal and external auditor(s) to help ensure Company goals and objectives pertaining to Compliance are being met
Takes a proactive role in regulatory requirements including assessments and testing of firm activities, identifying essential knowledge to disseminate to the firm, managing the day to day compliance operations
Responsible for regulatory management including identifying amended and new regulatory requirements, assessing firm standing in areas of regulatory focus, regulatory inquiries and exams
Collaborates, designs and executes on implementing efficient workflows for compliance requirements that entails centralized supervisory and record keeping- for example, marketing materials review
Implements programs/initiatives to enhance compliance awareness and seeks to continuously improve the existing Company’s Compliance program
Assists with the review of all Company forms, marketing and educational materials, and all internal and external Company communications including confirmations, statements and client correspondence
Assists and supports various stakeholders with drafting, reviewing, and modifying all broker dealer compliance related policies and procedures
Implements and directs the Company’s record retention program
Perform other duties as assigned by the ETCB Chief Risk Officer, President, CEO or Board
Travel to various locations, both within our organization and externally, may be required depending on your role and responsibilities
Qualification
Required
Bachelor's Degree in Business or Financial discipline
Minimum of seven (10) years of work experience in compliance, risk, supervision, audit department(s) of financial services organization required (broker-dealer experience strongly preferred)
FINRA Series 7, & 24 required
If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA. In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements. These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days
Familiar with regulatory requirements in securities markets environment
Demonstrated experience implementing and maintaining a compliance program within a FINRA regulated self-clearing or correspondent clearing organization
Must have good communication skills (verbal and written) and have a successfully demonstrated record of conducting affairs and duties as a team member
Strong analytical skills and proficiency working with Microsoft Excel and Power Point
Extensive FINRA, MSRB and SEC regulations knowledge
Preferred
FINRA Series 14 preferred
Strong analytical skills and proficiency working with Microsoft Excel and Power Point preferred
Experience with IRS rules and regulations related to Retirement Accounts and tax reporting applicable to such accounts preferred
Company
Equity Trust Company
Equity Trust Company is a financial services company that enables individual investors, financial professionals and institutions to diversify investment portfolios through alternative asset classes, including real estate, tax liens, private equity and precious metals.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
George Sullivan
Chief Executive Officer
Joe Stolz
Chief Technology Officer
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