Senior Compliance Officer

Job Overview

This position is based out of our Dallas, TX office and will have a hybrid schedule after training.

The Senior Compliance Officer reports directly to the Risk and Compliance Operations Officer and plays a pivotal role in ensuring the firm’s adherence to external regulatory requirements and internal compliance policies. This position oversees the management of both internal and external compliance and risk obligations, and is part of the Risk and Compliance leadership team.

• Manage the regular review and updating of the firm’s Written Supervisory Procedures (WSPs) to ensure alignment with regulatory requirements and industry best practices.
• Assist Risk and Compliance Management in preparing and maintaining supervisory reports in compliance with WSPs and books and records retention requirements.
• Execute recurring compliance and risk operational functions such as regulatory filings, new hire coordination, vendor management, and policies and procedures management.
• Support the management of the firm’s Anti‑Money Laundering (AML) program, including periodic account reviews, transaction monitoring, and adherence to regulatory obligations.
• Contribute to the development and execution of the firm’s compliance training programs, including Firm Element and AML training, to ensure employees remain informed of regulatory standards and internal policies.
• Stay informed of changing regulations, laws, and industry trends and proactively recommend updates to the firm’s compliance framework as needed.
• Identify potential compliance issues, investigate root causes, and provide actionable recommendations to mitigate risks or implement corrective actions.
• Maintain thorough and organized documentation of compliance activities such as customer complaints, investigation findings, and corrective measures implemented.
• Provide ongoing education and clear guidance to employees regarding the firm’s compliance policies, procedures, and regulatory responsibilities.
• Manage the firm’s annual compliance calendar, ensuring all regulatory and risk deadlines and internal compliance obligations are met efficiently and on time.
• Conduct or assist in oversight of trade blotters, email communications, social media activity, and other supervisory activities as needed.
• Serve as a resource for associates by providing timely and accurate guidance on compliance‑related questions or concerns.
• Collaborate with the CCO and other departments to respond to regulatory requests, coordinate audits, and implement compliance initiatives across the organization.
• Travel to various locations, both within our organization and externally, if required by role and responsibilities.
• Perform additional compliance responsibilities or special projects as assigned, contributing to the firm’s evolving regulatory and operational needs.

• Minimum 5–7 years of progressive experience in brokerage industry compliance, risk, or supervisory roles with proven ability to manage risk or regulatory obligations and supervisory controls effectively.
• Bachelor’s degree in business administration, finance, law, or a related field.
• Deep understanding of FINRA, SEC, and state regulatory requirements or financial risk concepts and practices related to credit, counter party, or exposure monitoring, with demonstrated experience interpreting and applying these rules to broker‑dealer operations.
• Comprehensive knowledge of financial products, including equities, mutual funds, bonds, options, and alternative investments.
• Extensive working knowledge of the brokerage and investment advisory business, including the regulatory environment, operational processes, and services related to the industry.
• Prior experience working within a self‑clearing or correspondent clearing environment serving introducing broker dealers or registered investment advisor intermediary clients.
• FINRA Series7,24, and
  63 securities licenses. Series4,14,51, or53 securities licenses preferred.
• Ability to take and pass the Securities Industry Essentials exam if a required license is not yet held, and the ability to obtain additional required securities industry exams within specified time…