Are you passionate about ensuring regulatory compliance and safeguarding client interests? Do you thrive on maintaining the integrity of operations by ensuring strict adherence to regulatory requirements and internal policies? We’re looking for a detail-oriented and proactive Compliance Specialist to join our team and help us maintain the highest standards of integrity and excellence.
At Strategic Wealth Designers , we’re a tight-knit crew that values positive energy and great attitudes. As our Compliance Specialist, you'll play a crucial role in maintaining the integrity of our operations and ensure we are in line with regulatory requirements and internal policies. We’re looking for someone who’s detail-oriented, efficient, and always ready to go the extra mile—someone who sees challenges as opportunities and is eager to help our business grow. If you’re articulate, dependable, and passionate about the financial industry, this might just be the role for you!
Job Description:
The Compliance Specialist ensures that the organization adheres to regulatory standards and internal policies and processes. This role involves supporting internal audits, monitoring compliance programs and collaborating with various departments to mitigate risks and maintain operational standards.
What You Bring to the Table:
Education & Experience: Bachelor’s degree in business, finance, law, or a related field. A master’s degree or relevant certifications (e.g., Certified Compliance & Ethics Professional) is a plus.
Experience: 3-5 years of experience in compliance, risk management, or a related field. Experience in the RIA industry is preferred.
Skills: Strong analytical and problem-solving skills
- Excellent verbal and written communication skills
- Detail-oriented with strong organizational skills
- Proficient in compliance management systems, risk assessment software and Microsoft Office Suite
- Knowledge of investment products and documentation
Knowledge: Familiarity with relevant regulations and compliance frameworks within the RIA space.
You will be expected to obtain your Series 65 or Series 66 within 90 days of hire date.
Responsibilities/Tasks:
As our Compliance Specialist, you’ll support all efforts to ensure that SWD adheres to regulatory standards and internal policies and processes. Here’s a taste of what you’ll do:
- Monitor and interpret applicable laws, regulations and guidelines to ensure organizational compliance.
- Stay up to date on changes in regulations that may impact the organization
- Assist in the development and implementation of compliance policies and procedures and ensure those procedures are communicated effectively across the organization.
- Conduct regular compliance audits and assessments to identify areas of risk within the organization.
- Prepare and deliver detailed findings and recommend necessary corrective action.
- Support with the development of compliance training programs for employees.
- Prepare and maintain records of compliance activities and ensure they are in alignment with regulatory requirements.
- Review client documentation and disclosures to ensure the firm and advisors are fulfilling their fiduciary responsibility.
- Manage the licensing needs of the firm and advisors.
- Assist in the preparation and filing of regulatory documents.
- Ensure that the firm is prepared for regulatory exams and inquiries by maintaining a well-documented and organized compliance program.
- Assist in managing and responding to audits, examinations and investigations from regulatory bodies.
- Collaborate with various departments, including legal, finance and operations to ensure compliance with policies and regulations.
Position Details:
- Location: 12377 Merit Drive, Dallas, TX 75251
- Commitment: Monday - Friday, 40 hours a week.
- Compensation: Starting salary range is $70,000-$90,000, plus a generous benefits package.
- You will be expected to obtain your Series 65 or Series 66 within 90 days of hire date.
Why Join us?
At Strategic Wealth Designers , we’re not just another financial firm—we’re a team of advisors, marketers, and client relations specialists who love what we do and never accept “good enough”. Expect hard work, lots of laughter, and an environment that encourages creativity and success. We reward dedication and aim to exceed the expectations for our clients and each other.
Ready to Join the Fun?
Check out our over-the-top experiences at SWDGroup.com/Careers. From company trips to exceptional opportunities, we’re confident you’ll find that we’re unlike any company you’ve ever worked for before!