SWBC (Southwest Business Corporation) is consistently recognized as one of the premier employers in San Antonio and has an immediate opening for a Compliance Manager. This is an exciting opportunity for the right individual to join an energetic and seasoned team, with an established and expanding national firm.
Headquartered in San Antonio, SWBC is a diversified financial services company providing a wide range of insurance, mortgage, and investment services to financial institutions, businesses, and individuals. With offices across the country, SWBC is committed to providing quality products, outstanding service, and customized solutions in all 50 states. SWBC has been recognized annually as one of the Top Ten Best Places to Work in San Antonio.
Assists in directing the operations and sales supervision of the Financial Services Division to ensure compliance with applicable laws and sales support for the Region.
Assists in directing the staff and sales supervision of all activities involved in the compliance of applicable laws established for the Operations Department of the Financial Services department.
Assists in reviewing quarterly sales activity reports, such as Trading Activity and Exception Report, for strategic compliance.
Assists in ensuring the licensing and registration requirements are maintained and updated for the Financial Service Representatives and associated persons.
Assists in overseeing the suitability review process for all account transactions and assures the timely processing of all new accounts by the Compliance Coordinator and the operations staff.
Assists in overseeing the review process for order entry by the Compliance Coordinator and assures timely review, approval and evidence of supervision on trade tickets and blotters.
Assists in assuring those audits of all sales branches are conducted regularly, in accordance with schedules approved by the firm and required by regulatory agencies.
Assists in reviewing and maintaining customer account statement exception reports, signature guarantee requests and seventeen required records and blotters.
Assists in managing the NASD and firm element required continuing education program for all Financial Service Representatives.
Performs other duties as required.
Must have a Bachelors Degree in business, finance or related field.
Must have Series 7, 24, 63, and Group I licenses.
Must have more than seven (7) years experience in marketing/sales in the financial services
Must have previous supervisory/management experience.
Must have excellent interpersonal and communication skills.
Must be able to use basic office equipment and have working knowledge of Microsoft Word, Excel, and quote machines.
Physical Requirement - None
SWBC is a Substance-Free Workplace and requires pre-employment drug testing.
Please note, SWBC does not hire tobacco users.
SWBC’s compensation package is competitive and includes the following employee benefits: 401(k) with company match, paid medical/dental health premiums for employees, Life, Long Term Disability, Accidental Death and Dismemberment, and Long Term Care insurance policies. SWBC also provides opportunities for professional growth. To learn more about SWBC, visit our website at www.SWBC.com. If interested, please apply on-line through our website listed above. Only those candidates who meet the minimum requirements need apply.
San Antonio, TX US
State or Province