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National Life Group
Addison, TX, United States
Summary Come join one of America's fastest growing insurance companies! We are looking for an experience and talented Compliance professional who can partner with our business colleagues to address regulatory concerns and solution to business needs. The position, in consultation with home office and field associates, will review life, annuity, sec
Job Source: National Life GroupNational Life Group
Addison, TX, United States
Summary Come join one of America's fastest growing insurance companies! We are looking for an experience and talented Compliance professional who can partner with our business colleagues to address regulatory concerns and solution to business needs. The position, in consultation with home office and field associates, will review life, annuity, sec
Job Source: National Life GroupGannett Co., Inc.
Dallas, TX, United States
Posted Monday, April 22, 2024 at 4:00 AM |Current Gannett Employees- Please ensure you are using our abbreviated process on the internal Careers site by logging into Dayforce through OKTA| Gannett Co., Inc. (NYSE: GCI) is a diversified media company with expansive reach at the national and local level dedicated to empowering and enriching communit
Job Source: Gannett Co., Inc.AT&T
Dallas, TX, United States
Job Description: About AT&T At AT&T we’re redefining the future of connectivity. At our core is a passion to serve our customers with products and services that create connections, improve lives, and allow millions to share the stories and experiences that matter. Our Corporate teams are fueled by innovation and a desire to connect the world in mea
Job Source: AT&TAT&T
Dallas, TX, United States
Job Description: About AT&T At AT&T we’re redefining the future of connectivity. At our core is a passion to serve our customers with products and services that create connections, improve lives, and allow millions to share the stories and experiences that matter. Our Corporate teams are fueled by innovation and a desire to connect the world in mea
Job Source: AT&TCoinbase Careers Page
Dallas, TX, United States
At Coinbase, our mission is to increase economic freedom around the world, and we couldn't do this without hiring the best people. We're a group of hard-working overachievers who are deeply focused on building the future of finance and Web3 for our users across the globe, whether they're trading, storing, staking or using crypto. Know those people
Job Source: Coinbase Careers PageNorm Reeves Auto Group
Dallas, TX, United States
Location: Dallas, TX (On Site) | Type: Full Time The Compliance Manager will perform periodic audits of the organization's compliance efforts across its various operational domains, provide summary reports of the outcome of those audits to executive leadership, and will study ongoing compliance efforts, and recommend possible improvements to th
Job Source: Norm Reeves Auto GroupConant Automotive Resources LLC
Dallas, TX, United States
Job Description Job Description Location: Dallas, TX (On Site) | Type: Full Time The Compliance Manager will perform periodic audits of the organization’s compliance efforts across its various operational domains, provide summary reports of the outcome of those audits to executive leadership, and will study ongoing compliance efforts, and reco
Job Source: Conant Automotive Resources LLCDallas, TX, United States
SUMMARY
The Manager, Compliance - Advertising is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to advertising review. Additionally, this role works with the VP, Compliance to assist with the management of team members responsible for advertising review.
KEY ACCOUNTABILITIES
Performs compliance reviews in accordance with firm policy and applicable regulatory requirements. To include timely review, approval, and filing as required.
Coordinates new client on-boarding and changes to existing client (new fund, advisor change, etc.). Successfully communicates with client about advertising rules and submission process, sets up users in Red Oak.
Constantly assesses the overall BD desktop procedures to identify areas of improvement and implement these improvements.
Assists with departmental projects as assigned. For example, annual due diligence review of vendors, agreements, clients, and products.
Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.
PERSONNEL MANAGEMENT Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.
Establishes team and individual goals for department.
Fosters performance of associates and the processes used by them; holds the associates accountable for their work.
WORKING RELATIONSHIPS Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
Answers client and internal inquiries and helps resolve any issues. Point of escalation for a team responsible for advertising review, approval, and filing. Website and internet reviews.
Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.
May perform other duties as required and assigned.
EDUCATION AND EXPERIENCE Bachelor's degree in business administration, finance, accounting, or related field.
7+ years of experience in the financial industry.
1-2 years of management and leadership experience.
Experience working in an operations or compliance role.
FINRA Series 7, 24, 51/53 or ability to obtain Series 7, 24, 51/53 within 12 months.
KNOWLEDGE Securities rules and regulatory requirements, especially FINRA Rule 2210 and SEC Rule 482.
Microsoft Office Suite.
Adobe Acrobat.
SKILLS AND ABILITIES Ability to successfully communicate and apply regulatory requirements both internally and to clients of the Firm.
Aligns associates with company values and goals.
Plans and delegates the work of others.
Motivates and inspires others.
Assesses performance of self and associates to make improvements or take corrective action.
Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
Troubleshoots issues utilizing creative and critical thinking skills.
Multitasking, analytical, and organizational skills.
Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
Demonstrates personal integrity, responsibility, and accountability.
Effectively uses resources such as time and information in conjunction with associates.
Participates in solving problems and making decisions.
Presents and expresses ideas and information, written and oral, clearly, and concisely.
Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.
Equivalent education, experience, and KSA's will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant's or employee's race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.
Email Alert for Manager, Compliance - Advertising jobs in Dallas, TX, United States
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