Senior Compliance Officer

May 22, 2023
Fort Worth, United States of America
Job Type


Trustpoint.One is pleased to be partnering with a Fort Worth based corporation in their search for a Senior Compliance Officer. The ideal candidate for this position will have 7 years of legal, compliance or related experience in the financial services industry and have experience with the following duties:

  • Experience preparing and drafting the Annual CEO Certification report as specified in FINRA Rule 3130.
  • Work closely with leadership regarding the development of the firm's Annual Compliance Training requirements.
  • Assist with training of marketing related compliance requirements.
  • Partner with Risk and Controls to complete annual review of Compliance Operations controls including testing.
  • Complete annual compliance report which identifies areas of strengths and weaknesses.
  • Support HR by onboarding new hires.
  • Bachelor's degree and Series SIE, Series 7, Series 24 required.

This position offers a hybrid work schedule, and a competitive salary and benefits package. For immediate consideration, submit your resume via the link below.


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