POSITION OVERVIEW:

This role is integral to the firm’s compliance infrastructure, working closely with the Chief Compliance Officer to ensure the effectiveness, independence, and regulatory adherence of the firm’s compliance program. It is responsible for the oversight and enforcement of regulatory requirements under the Investment Advisers Act of 1940, Rule 206(4)-7, Texas State Securities Board (TSSB) regulations, and other applicable federal and state laws. This role supports ongoing regulatory inspections and examinations, manages compliance reporting and documentation, and acts as a key partner to the RNDP program manager to maintain supervisory controls. It serves as a critical compliance liaison to the investment advisory teams, operational staff, and regulators, driving a culture of compliance across the bank.

EXPERIENCE & EDUCATION:

• Minimum 7+ years in investment operations and compliance support within a Registered Investment Advisor or comparable financial services environment.
• At least 5 years of proven success in trade processing, including life insurance products.
• Demonstrated operational guidance and compliance support for advisors managing diverse portfolios in bank-sponsored programs.
• Bachelor’s degree in Finance, Business Administration, Accounting, or related disciplines.

SKILLS & QUALIFICATIONS:

• Deep expertise in the Investment Advisers Act of 1940, SEC, FINRA, and state regulatory requirements.
• Strong knowledge of fiduciary duties, AML/BSA compliance, and best regulatory practices.
• Proven ability to manage regulatory filings, respond to examinations, and maintain audit-ready documentation.
• Advanced skills in risk analysis, compliance testing, and operational control implementation.
• Proficient in compliance-related software and tools including CRM systems, trade blotters, and reporting platforms.
• Excellent analytical, investigative, and problem-solving capabilities.
• Strong organizational skills with attention to detail.
• Skilled in document management, policy development, and regulatory reporting.

OTHER REQUIREMENTS:

• Series 65 or 66, Texas Life and Health licenses, or the ability to obtain within 90 days of hire.
• Commitment to maintaining a positive representation of the firm in all regulatory and community interactions.
• Requires the ability to lift, carry, push, pull weights or otherwise move objects weighing as much as 10 lbs. on a regular basis and/or for extended periods of time during the workday.
• Occasional overtime or extended hours may be required.