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

Open nowPosted yesterday

Investments Compliance Officer

Frost189 open roles

Where
Houston, TX - Post Oak
Get the CV for this job

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

Your applicationOpen nowInvestments Compliance OfficerFrost · Houston, TX - Post Oak

  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 Frost'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.

12.7% of postings close within 7 days. Measured by our own scanner across the market. Frost postings stay open a median of 21 days.

Share of postings closed within
  1. 2.2%1 day
  2. 4.5%3 days
  3. 12.7%7 days
  4. 20.4%14 days
  5. 35.6%30 days
  6. 58.7%60 days
This job: posted yesterday

Frost median: 21 days open

The posting

Job Description

It’s about giving people a sense of security.

Are you ready to facilitate all the moving pieces to help deliver a top-quality investments experience? Are you known for your goal-orientated mindset and for always thinking one step ahead? Do you enjoy identifying potential risks and finding solutions? If so, being an Investments Compliance Officer with Frost Investments could be for you.

At Frost, it’s about more than a job. It’s about having a flourishing career where you can thrive, both in and out of work. At Frost, we’re committed to fostering an environment that reflects our values and encourages team members to be the best they can be. In joining our adaptable, integrity-driven team, you’ll become part of Frost’s over 150-year legacy of providing unparalleled banking services.

Who you are:

As an Investments Compliance Officer with Frost Brokerage Services, you be responsible for overseeing compliance monitoring of all transactions, tasks, and activities for Frost Brokerage Services. You will evaluate the effectiveness of compliance controls that support applicable laws, rules, and regulations, including those regarding anti-money laundering. You will also recommend policies and procedures intended to prevent unethical and illegal conduct. You welcome a challenge and strive to contentiously improve processes with integrity, caring and excellence in mind.

What you’ll do:

  • Monitor licensing, registration, and continuing education for individuals and branches to ensure compliance with state and federal laws and regulations
  • Work with other lines of business in order to conduct all anti-money laundering monitoring for Brokerage
  • Update and maintain internal systems and databases as needed
  • Provide guidance on more complex compliance issues, including the interpretation and application of relevant policies/guidelines. Respond to questions regarding licensing and registration requirements
  • Review and maintain appropriate documentation of all testing and client due diligence. Provide written reports to management
  • Assist management with planning of compliance testing as well as during compliance examinations by regulatory agencies
  • Always take action using Integrity, Caring, and Excellence to achieve all-win outcomes

What you’ll need:

  • Bachelor’s degree in a related field such as Business, Economics, Legal Studies, or Risk Management; or equivalent training/experience
  • 5+ years of compliance experience with a registered investment advisor, compliance-focused consultant, or audit practice required
  • Working knowledge and experience with the Investment Advisers Act of 1940
  • Series 65 or 66 license required; qualifying professional designation such as CFP, CFA, or ChFC a plus
  • Strong time management, organizational, analytical, and problem-solving skills with the ability to provide alternative approaches and solutions and exhibit good judgment in escalating issues to the Chief Compliance Officer
  • Excellent written and verbal communication skills and ability to present information to an audience

Additional Preferred Skills:

  • FINRA Series 4, 53, and/or 99
  • General Lines Agent License: Life, Accident, Health, and HMO
  • CAMS designation

Our Benefits:

At Frost, we care about your health, your family, and your future and strive to have our benefits reflect that. This includes:

  • Medical, dental, vision, long-term disability, and life insurance
  • 401(k) matching
  • Generous holiday and paid time off schedule
  • Tuition reimbursement
  • Extensive health and wellness programs, including our Employee Assistance Program
  • Referral bonus program + more!

Since 1868, Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas. Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction. At Frost, it’s about being part of something bigger. If this sounds like you, we encourage you to apply and see what’s possible at Frost.

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 Frost'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 Frost'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

    Frost'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.