Senior Compliance Officer

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.