Compliance Consultant II - Branch Exams
Avantax Wealth Management
Location: Dallas - HDQ
Blucora has a bold aspiration: we are committed to giving all people the tools needed to lead healthy financial lives - tools often reserved for the wealthy.
We now turn to the next leg, developing the technological tools that make our vision of financial health for all a reality. Atypical for the financial services industry, we take a contemporary approach to strategy and product development that is founded in user insights, rapid testing, and a singular focus on driving end-user value.
Since charting new territory daily is part of everyone's job at Blucora, we've attracted team members who thrive on the challenge, encourage each other, and are passionately committed to the goal. If you agree that problem-solving is a team sport, and feel energized by a good debate, deep-dive research, or a fun night out with colleagues, we might be the right firm for you!
Position Summary
Avantax Wealth Management, a subsidiary of Blucora and sister company to Avantax Planning Partners and TaxAct is seeking a Compliance Consultant Branch Exams that will be responsible for assisting the Compliance Team with the implementation and monitoring of a risk-based supervisory program to assure compliance with federal, state, agency, legal, and regulatory requirements.
Essential Duties & Responsibilities
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 accommodation may be made to enable individuals with disabilities to perform the essential functions.
Audit Registered Representatives at their offsite locations with little to no guidance ensuring their compliance with firm and regulatory policies and procedures.
Implement testing methodologies.
Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.
Identify issues, assess ratings, and offer recommendations based on results of compliance examinations.
Serves as a resource to level 1 auditors.
Executes audits that have higher risk and more complexity.
Train new auditors.
75% travel required.
Education & Experience
3-5 years of compliance work experience in the financial services industry is required.
Series 7 and 63 are required.
Series 24 is preferred.
Ability to effectively multitask and successfully work on several projects at the same time.
Ability to demonstrate organizational skills, attention to detail, and adherence to strict deadlines in a fast-paced environment.
Ability to demonstrate problem-solving/analytical skills and ability to work under pressure in a fast-paced environment.
Team player but possesses the ability to work independently when needed.
Strong communication and analytical skills are required.
Proficiency in MS Office required.
Physical Demand & Work Effort
Keying/typing, standing, walking.
Sitting for an extended period.
Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.
The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.
Compliance with company attendance standards.
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.
#Avantax
At Blucora, we believe our work benefits from the diverse perspectives of our employees. As such, Blucora welcomes and celebrates diversity and inclusion and is committed to equal opportunity employment. At Blucora, you can expect a supportive, open, and inclusive atmosphere and a team that values your contributions.
Blucora, Inc. and its subsidiaries, Avantax Wealth Management, Avantax Planning Partners (formerly HK Financial Services), and TaxAct are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants without regard to race, color, religion, sex, national origin, age, physical and mental disability, marital status, sexual orientation, gender identity, veteran status, and any other status protected under federal or state law. Blucora considers information gathered in the hiring process, including information on this application, confidential, and only shares it on a need-to-know basis or as required by law.
If you need assistance or accommodation due to a disability, you may contact us at HR@Blucora.com or by calling 972-870-6000 to speak with a member of the HR Talent Acquisition team.