Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted 6 days ago

Senior Compliance Officer

Equity Trust Company5 open roles

Where
Dallas
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowSenior Compliance OfficerEquity Trust Company · Dallas

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on Equity Trust Company's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

13.9% of postings close within 7 days. Measured by our own scanner across the market. Equity Trust Company postings stay open a median of 28 days.

Share of postings closed within
  1. 2.2%1 day
  2. 4.7%3 days
  3. 13.9%7 days
  4. 22.4%14 days
  5. 38.1%30 days
  6. 59.0%60 days
This job: posted 6 days ago

Equity Trust Company median: 28 days open

The posting

JOB OVERVIEW

The Senior Compliance Officer reports directly to the Risk and Compliance Operations Officer and plays a pivotal role in ensuring the firm's adherence to external regulatory requirements and internal compliance policies. This position oversees the management of both internal and external compliance and risk obligations. This role is part of the Risk and Compliance leadership team.

RESPONSIBILITIES & DUTIES

  • Manages the regular review and updating of the firm’s Written Supervisory Procedures (WSPs) to ensure alignment with regulatory requirements and industry best practices.
  • Assists Risk and Compliance Management in preparing and maintaining supervisory reports in compliance with WSPs and books and records retention requirements.
  • Executes on a variety of recurring compliance and risk operational functions such as regulatory filings, new hire coordination, vendor management, and policies and procedures management.
  • Supports the management of the firm’s Anti-Money Laundering (AML) program, including periodic account reviews, transaction monitoring, and adherence to regulatory obligations.
  • Contributes to the development and execution of the firm’s compliance training programs, including Firm Element and AML training, to ensure employees remain informed of regulatory standards and internal policies.
  • Stays informed of changing regulations, laws, and industry trends, proactively recommending updates to the firm’s compliance framework as needed.
  • Identifies potential compliance issues, investigate root causes, and provide actionable recommendations to mitigate risks or implement corrective actions.
  • Maintains thorough and organized documentation of compliance activities, such as customer complaints, investigation findings, and corrective measures implemented.
  • Provides ongoing education and clear guidance to employees regarding the firm’s compliance policies, procedures, and regulatory responsibilities.
  • Manages the firm’s annual compliance calendar, ensuring all regulatory and risk deadlines and internal compliance obligations are met efficiently and on time.
  • Conducts or assists in oversight of trade blotters, email communications, social media activity, and other supervisory activities as needed.
  • Serves as a resource for associates by providing timely and accurate guidance on compliance-related questions or concerns.
  • Collaborates with the CCO and other departments to respond to regulatory requests, coordinate audits, and implement compliance initiatives across the organization.
  • Travels to various locations, both within our organization and externally, may be required depending on role and responsibilities.
  • Performs additional compliance responsibilities or special projects as assigned, contributing to the firm’s evolving regulatory and operational needs.

QUALIFICATIONS

  • Minimum Experience: At least 5-7 years of progressive experience in brokerage industry compliance, risk or supervisory roles, with a proven ability to manage risk or regulatory obligations and supervisory controls effectively.
  • Education: Bachelor’s degree in business administration, finance, law, or a related field is required.
  • Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulatory requirements or financial risk concepts and practices related to credit, counterparty or exposure monitoring, with demonstrated experience interpreting and applying these rules to broker-dealer operations.
  • Product Expertise: Comprehensive knowledge of financial products, including equities, mutual funds, bonds, options, and alternative investments.
  • Industry Insight: Extensive working knowledge of the brokerage and investment advisory business, including the regulatory environment, operational processes, and services related to the industry.
  • Specialized Experience: Prior experience working within a self-clearing or correspondent clearing environment serving introducing broker dealers or registered investment advisor intermediary clients

PROFESSIONAL CERTIFICATIONS

  • FINRA Series 7, 24, and 63 securities licenses.
  • Series 4, 14, 51 or 53 securities licenses preferred.
  • If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA. In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements. These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days.

TECHNICAL SKILLS

To be successful in this role, you should have experience with and an understanding of the following:

  • Proficiency in compliance tools and software systems such as FIS and Lexis Nexis.
  • Advanced skills in Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
  • Familiarity with surveillance and monitoring tools, regulatory reporting systems, and CRM platforms.
  • Various Fintech offerings (FIS, Hadrius, Smarsh, Protegent, others) required

CULTURAL COMPETENCIES

Innovayte is dedicated to building an environment where each team member can thrive, contribute meaningfully, and grow professionally and personally. We believe that our core values—rooted in

  • respect,
  • empowerment,
  • innovation,
  • integrity,
  • trust, and
  • accountability

are essential to achieving our mission. These values guide us in everything we do, from daily interactions to strategic decisions. We’re looking for individuals who not only share these principles but are excited to bring them to life in meaningful ways.

In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies:

  • Business Insight
  • Collaborates
  • Directs Work
  • Instills Trust

PHYSICAL DEMANDS/WORK ENVIRONMENT

This job operates in a professional office environment, which may include a corporate office setting or a remote/home office environment, and routinely uses standard office equipment and technology such as computers, phones, printers, and video conferencing tools. While performing the duties of this job, the associate is regularly required to communicate effectively, including speaking, hearing, and participating in virtual meetings on camera. The associate is frequently required to sit for extended periods of time, as well as occasionally stand, walk, use hands and fingers, and reach with hands and arms. This job may require the ability to lift files or office materials, open filing cabinets, and bend or stand on a stool as necessary. Remote associates are expected to maintain a safe, secure, and productive work environment with reliable internet access.

DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT

The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.

Equity Trust Company is an equal opportunity at will employer and does not discriminate against any employee or applicant for employment because of age, race, religion, color, disability, sex, sexual orientation, or national origin.

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against Equity Trust Company's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on Equity Trust Company's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    Equity Trust Company's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.