Southwest Business Corporation
SWBC has been recognized as one of the Best Companies to Work for in Texas and has an exciting opportunity for the right individual to join an energetic and seasoned team, with an established and expanding national firm.
Headquartered in San Antonio, SWBC is a diversified financial services company providing a wide range of insurance, mortgage, and investment services to financial institutions, businesses, and individuals. With offices across the country, SWBC is committed to providing quality products, outstanding service, and customized solutions in all 50 states.
Job Profile SummaryAssists the Compliance Manager and Chief Compliance Officer in executing the firm's Supervisory Control Systems by ensuring that all processes are being completed and documented thoroughly and in a timely manner, thereby keeping SWBC within SEC and FINRA regulatory guidelines; oversees the firm's Insurance Licensing process; and assists compliance team with all other duties as needed.
Supports the compliance team in ensuring all daily, monthly, quarterly, and annual firm surveillance activities are completed and documented.
Maintains and organizes all the firm's required compliance files to include representative files, selling agreement files, firm records, and state insurance files.
Maintains workflow and documentation for the compliance division regarding compliance activities to ensure tasks are getting completed as required.
Oversees the Insurance Licensing function for the company to ensure all insurance licenses are processed and maintained.
Assists in assigning, tracking, and reporting all aspects of Firm Element training and Regulatory Continuing Education to include the assignment of online training for the department, tracking completions, and deadlines, sending reminder notices, and maintaining completion records and reports.
Assists in maintaining the firm's FINRA CRD system records and updates to include the processing of new representatives licenses, inputting any updates into the system, deleting representatives as needed, updating and adding branches, and the processing annual renewal of the firm and its representatives licenses.
Assists with maintaining the firm's Due Diligence records to include compiling information on the various products and companies, preparing compliance reports for the meeting, and documenting the outcome in the annual report.
Compliances and distributes of related documents to representatives and financial institutions.
Receives, tracks, and escalates regulatory notices from FINRA to the appropriate department personnel.
Bachelor's Degree in Finance, Financial Management, Business Administration, or related field.
No experience necessary.
Investment Industry compliance experience is recommended.
Series 7 and 63 licenses are preferred.
Must have good analytical and problem resolution skills.
Must have good organizational and communication (both written and verbal) skills.
Must have a working knowledge of general office equipment to include Internet navigation, MS Excel and MS Word.
Must have exposure to specific marketing programs such as Photoshop and the like.
Must be a self-starter and exercise sound judgment.
Must be able to sit for long periods of time performing some of the compliance teams or other activities.
SWBC is a Substance-Free Workplace and requires pre-employment drug testing.
Please note, SWBC does not hire tobacco users.
SWBC offers an excellent employee benefits package that includes: 401(k) with company match, medical/dental, Life, Long Term Disability, Accidental Death and Dismemberment, and Long Term Care insurance policies. SWBC also provides opportunities for professional growth. To learn more about SWBC, visit our website at www.SWBC.com. If interested, please click the appropriate apply button. Only those candidates who meet the minimum requirements need apply.
Southwest Business Corporation
Website : http://www.swbc.com