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Compliance Project Coordinator

CornerStone Staffing

This is a Full-time position in Coppell, TX posted October 13, 2021.

Do you have securities experience and looking to break into compliance or continue a career in compliance? We are hiring for an opportunity with a wealth management firm offering a great company culture and team atmosphere! Apply today to join our growing team!

Job Title: Compliance Project Coordinator – Compliance Team Services

Location: Dallas, Texas

Remote role

Length of Role: 6 month contract role and based on candidate performance/needs of business could potentially move to Sales Supervision/Compliance Team long term for a full – time role.

Pay: 25-30/hr.

Based on Experience

Schedule: Hours: 8am to 5pm (Monday to Friday), possible OT if needed

Job Description:

This role is a Coordinator/Administrative support role to the Compliance Services Team.

The main job functions are as follows:

  • Compliance reporting – creating reporting

  • Reconciling in Excel

  • Working with internal departments and Financial Professional in compliance related matters

  • Other duties within the department as assigned

Education and Experience

  • A minimum of (2-3) years of experience working for or with a broker/dealer (experience with securities)

  • Must have reasonable knowledge of the FINRA and SEC regulations and general broker-dealer operations.

  • Proficiency in MS Office required (strong Excel is a MUST for this role)

  • Attention to detail

  • Team player and enthusiastic

  • Strong communication skills both written and verbally

  • Series 7, or 6 and 63 required

Education

Bachelors degree is a plus, high school diploma required

Application Process includes:

Background check, fingerprinting, professional references verified and a phone interview

To Apply for this Job:

Click the Apply Online button, then:

  • If you are currently registered with CornerStone Staffing, click the Log In button to add yourself as a candidate to this job.

  • If you are NOT currently registered with CornerStone Staffing, click the Create Account button to complete the application.

After completing the online application, for immediate consideration, you will need to email leighl@cornerstonestaffing.com to schedule a phone interview with a recruiter and put “Compliance PC” in the subject line of your email.

#CB

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