Field Compliance Officer

Company: Cornerstone
Location: Fort Worth
Posted on: February 3, 2025

Job Description:

Job Title: Compliance Officer - Field Examiner

Qualifications, skills, and all relevant experience needed for this role can be found in the full description below.

Location: Fort Worth, TX
Travel Requirement: Approximately 40-60%

About the Opportunity:
Are you an experienced compliance professional with a passion for ensuring regulatory excellence? We're seeking a Compliance Officer - Field Examiner to join our team! In this role, you will be responsible for conducting inspections, maintaining compliance with industry rules and regulations, and fostering a culture of compliance. Your work will play an integral part in validating suitable recommendations, analyzing supervisory processes, and supporting compliance efforts across the field and home office.

Key Responsibilities:
As a Field Compliance Officer you will:

Prepare, schedule, and conduct Financial Advisor inspections to ensure compliance with industry rules, supervisory procedures, and firm policies.
Analyze data to prepare for targeted inspections based on industry or company trends.
Facilitate and support department investigations based on inspection findings.
Draft detailed inspection reports and ensure noted deficiencies are promptly addressed.
Assist in developing and revising compliance policies and procedures.
Serve as a compliance resource by providing training and education to Advisors and administrative personnel.
Perform second-line compliance reviews, including inspections, transactions, and electronic communications, to ensure regulatory compliance.
Escalate complaints to the Quality Management Team and coordinate investigations between the Home Office and the Field.
Evaluate workflows and tools to recommend improvements for compliance-related processes.
Provide intelligence to Compliance


Must Have:
--- Series 7 and 24 preferred. Or, must be obtained within 90 days of receiving test materials.
--- Series 51, 63, 65, Group I Insurance preferred
--- 3-5 years of compliance work experience in the financial services industry including knowledge of securities and insurance rules and regulations
--- Ability to travel approximately 40-60% travel required to field office locations

Benefits for the Field Compliance Officer: PTO (sick/vacation)
ESOP Contribution
2 Days Volunteer PTO
Tuition reimbursement
Covered Parking
Free financial planning
Free on-site fitness center with exercise classes.
Discounted personal training and massage therapy is available
Free basic life, short and long term disability and an employee assistance program
Company contributions to a Health Savings Account for the high deductible medical plan
Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
Charitable services and volunteer opportunities
Year-over-year gold winner of the American Heart Association Fit Friendly company
Library privileges
Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
A career development program
In-house training courses ranging from leadership development to basic computer skills
Employee recognition programs and quarterly all-employee luncheons
Yearly family social events

If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration

Keywords: Cornerstone, Frisco , Field Compliance Officer, Other , Fort Worth, Texas