Investments Compliance Officer

Job Description

It’s about giving people a sense of security.

Are you ready to facilitate all the moving pieces to help deliver a top-quality investments experience? Are you known for your goal-orientated mindset and for always thinking one step ahead? Do you enjoy identifying potential risks and finding solutions? If so, being an Investments Compliance Officer with Frost Investments could be for you.

At Frost, it’s about more than a job. It’s about having a flourishing career where you can thrive, both in and out of work. At Frost, we’re committed to fostering an environment that reflects our values and encourages team members to be the best they can be. In joining our adaptable, integrity-driven team, you’ll become part of Frost’s over 150-year legacy of providing unparalleled banking services.

Who you are:

As an Investments Compliance Officer with Frost Brokerage Services, you be responsible for overseeing compliance monitoring of all transactions, tasks, and activities for Frost Brokerage Services. You will evaluate the effectiveness of compliance controls that support applicable laws, rules, and regulations, including those regarding anti-money laundering. You will also recommend policies and procedures intended to prevent unethical and illegal conduct. You welcome a challenge and strive to contentiously improve processes with integrity, caring and excellence in mind.

What you’ll do: 

• Monitor licensing, registration, and continuing education for individuals and branches to ensure compliance with state and federal laws and regulations

• Work with other lines of business in order to conduct all anti-money laundering monitoring for Brokerage

• Update and maintain internal systems and databases as needed

• Provide guidance on more complex compliance issues, including the interpretation and application of relevant policies/guidelines. Respond to questions regarding licensing and registration requirements

• Review and maintain appropriate documentation of all testing and client due diligence. Provide written reports to management

• Assist management with planning of compliance testing as well as during compliance examinations by regulatory agencies

• Always take action using Integrity, Caring, and Excellence to achieve all-win outcomes

What you’ll need:

• Bachelor’s degree in a related field such as Business, Economics, Legal Studies, or Risk Management; or equivalent training/experience

• 5+ years of compliance experience with a registered investment advisor, compliance-focused consultant, or audit practice required

• Working knowledge and experience with the Investment Advisers Act of 1940

• Series 65 or 66 license required; qualifying professional designation such as CFP, CFA, or ChFC a plus

• Strong time management, organizational, analytical, and problem-solving skills with the ability to provide alternative approaches and solutions and exhibit good judgment in escalating issues to the Chief Compliance Officer

• Excellent written and verbal communication skills and ability to present information to an audience

Additional Preferred Skills:

• FINRA Series 4, 53, and/or 99

• General Lines Agent License: Life, Accident, Health, and HMO

• CAMS designation

Our Benefits:

At Frost, we care about your health, your family, and your future and strive to have our benefits reflect that. This includes:  

• Medical, dental, vision, long-term disability, and life insurance

• 401(k) matching

• Generous holiday and paid time off schedule

• Tuition reimbursement

• Extensive health and wellness programs, including our Employee Assistance Program

• Referral bonus program + more!

Since 1868, Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas. Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction. At Frost, it’s about being part of something bigger. If this sounds like you, we encourage you to apply and see what’s possible at Frost.