Compliance Officer

Company: Capital Advisors, Inc.
Location: Frisco
Posted on: January 30, 2025

Job Description:

We endeavor to make a positive difference in people's lives by helping them achieve meaningful lifetime goals through investment management. We inspire peace of mind through a transparent and repeatable investment process and frequent communication. Founded in 1978, Capital Advisors provides wealth management and financial planning services to individuals and institutions. Our company is an employee-owned SEC Registered Investment Advisor with over $6 Billion in assets under management.
Transparency - Collaboration - Integrity - Commitment - Initiative - Innovation


Compliance Officer Position and Company Highlights:
Salary: based on experience plus annual bonus program
Location: Frisco, TX in office #LI-onsite
Schedule 8:00 AM - 4:30 PM Monday - Thursday, 8:00 AM - 3:15 PM Friday
Benefits: Up to 6 weeks PTO, 90% employer paid medical insurance, 401k match 100% vested available first day, ESOP available first day, employer paid 2x annual salary life insurance


Purpose of Compliance Officer:
The Compliance Officer is an integral piece in the implementation and oversight of the Firm's compliance program including education, training, and oversight. The Compliance Officer acts as a liaison with vendors, business partners, and employees on compliance-related issues.


Principal Accountabilities of the Compliance Officer:

Collaborate with CCO on review and execution of the Compliance Program throughout the organization
Coordinate education initiatives on matters of compliance and risk management
Assist CCO in Compliance obligations regarding publicly traded Mutual Fund
Responsible for new employee compliance education and onboarding
Be an expert on Compliance Software (Orion Compliance)
Independently carry out daily Compliance tasks to comply with regulatory requirements
Carry out remote office inspections; requires limited travel

Building and Maintaining an Exemplary Professional Reputation:

Develop and maintain relationships of trust with employees and partners
Contribute to the community through active participation with civic and educational institutions.
Maintain a standard of personal conduct professionally and socially to promote a personal reputation of integrity and technical competence.
Willingness to obtain Compliance Certification, ie. IACCP with support



Requirements for the Compliance Officer:

FINRA license - Series 65 or 66 (required)
Bachelor's Degree (required)



Dimensions of Position of the Compliance Officer:
The Compliance Officer is part of the Compliance Team and therefore, responsible for the Firm's compliance and risk management programs. The person in this position must be willing to collaborate seamlessly with numerous people with different roles within Capital Advisors. Attention to detail and clear communication skills are required. The highest level of integrity is expected at all times.PId1e824be1c61-25660-36588050

Keywords: Capital Advisors, Inc., Haltom City , Compliance Officer, Other , Frisco, Texas