Job Description Summary IMPORTANT: Applicants – When filling out your name and other personal information below, DO NOT USE ALL CAPS or any special characters. Use only standard letters in the English alphabet. Including special characters or all uppercase letters will cause errors in your application.
Reviews laws and regulations for business impact and completes risk assessments. Under minimal supervision, performs moderately complex to complex work assignments and problem resolution within a CoSA and enterprise-wide projects. Guides the business on compliance strategy implementation in the pursuit of business solutions
We are currently seeking talented Compliance Advisor I for our San Antonio, TX facility.
Conducts reviews of laws and regulations for business impact. Completes accurate risk assessments, develops recommendations and coordinates with appropriate counsel.
Serves as a resource to less experienced team members on escalated issues of a routine nature. Utilizes strong leadership skills in interacting with counsel, customers or team members. Builds processes and relationships that facilitate productive teamwork.
Provides compliance input on business action plans, projects or operational requests. Gathers information, analyzes data trends, identifies root cause(s), and provides information to the business or project teams. Serves as the subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy. Provides industry knowledge and/or skills expertise for work assignments.
Identifies outstanding compliance issues and oversees proper implementation of business requirements. Demonstrates knowledge of how own area links to other key areas of the company and identifies new ways of doing business.
Monitors and assures compliance with regulatory requirements reporting and maintains relationships with regulatory agencies as directed. Coordinate and responds to regulatory requirements and requests. Conducts compliance assessments through self-assessment program and examinations.
4+ years relevant work experience in the securities industry.
Bachelor's degree or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
Experience in the securities industry, to include experience related to compliance, supervision, audit, financials or analytics.
Prior experience in accounting, financial analysis or similar quantitative disciplines and/or data analysis and techniques.
One or more FINRA registrations or related professional qualifications.
Familiar with FINRA and SEC regulations pertaining to broker-dealers and investment advisors.
Proven business acumen; demonstrated strength in collaboration/team building; communication (oral and written), and adaptability (agility).
Proficient in use of Microsoft Office tools to include Word, Excel and PowerPoint.
The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.
*Qualifications may warrant placement in a different job level*
When you apply for this position, you will be required to answer some initial questions. This will take approximately 5 minutes. Once you begin the questions you will not be able to finish them at a later time and you will not be able to change your responses.
Relocation assistance is not available for this position.
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As a Fortune 200 financial services organization, USAA is on a mission - to facilitate the financial security of our members, the men and women of the U.S. military and their families worldwide by providing a full range of financial services and products. Headquartered on a showcase campus in San Antonio, TX, USAA attributes its long-standing success to its mo...st valuable resource, our 27,000 employees. They are the heart and soul of our member-service culture.
Recently Ranked #11 in Forbes list of 500 of the "Best Employers in the U.S. in 2015", we are proud to receive consistently outstanding awards and ratings for member service, employee well-being and financial strength. Everything that happens at USAA is based on our core values: Service, Loyalty, Honesty, and Integrity. These are the foundations of how we do business with our members, as well as how we treat each other.
At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.