Compliance Consultant I - Surveillance - Required: Series 7, 24 & 63

Avantax Wealth Management? in Dallas, TX

position filled

The Compliance Consultant 1 - Surveillance - is responsible for the surveillance of advisors and accounts to ensure compliance with Firm policies and procedures. This role is also responsible for the intake and disposition of potential exploitation of vulnerable adults.  


Major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 

Analyze exception reports for compliance with Firm policies and procedures, as well as all applicable laws and regulations.
Accurately, and within established timelines, work daily, weekly, and quarterly reports.
Effectively communicate policies to internal team members and the Firm’s registered representatives.
Collaborate with other compliance staff, internal team members or registered representatives.
Investigate reports of financial exploitation and make appropriate reports to the respective State Agencies and Law Enforcement.
Participate in and provides compliance support for projects and initiatives with low to moderate risk to identify, assess and mitigate regulatory risk in business activities.
Apply knowledge and expertise to influence others to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls.
Identify opportunities for improvement in firm's processes/procedures and makes recommendations for changes including training for registered representatives and employees.
Keep abreast of new rules and regulations that are impactful to the Firm to assist in the continued development and implementation of current policies and procedures.
Contribute to the development, implementation and communication of Corporate Compliance's missions, goals and strategies.
Flexible to perform other job duties as assigned.


1-2 years of Broker/Dealer Compliance experience.
Proficiency in Microsoft Office Suite with expert knowledge of Excel and Access.
Proven investigative, problem solving, and analytical skills. 
Ability to demonstrate organizational skills, attention to detail, time management and adherence to strict deadlines in a fast-paced environment.
Team player but possesses the ability to work independently when needed.
Strong written and oral communication skills required.
Financial Exploitation experience preferred.
Series 7, 63 and 24 are required. 

Comprehensive Benefits  

We offer a competitive salary, outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.

Qualified applicants will receive consideration for employment without regard to their race, color, religion, national origin, sex, or disability.

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