33101

Company: Mohr Talent
Location: Round Rock
Posted on: April 17, 2025

Job Description:

Position Summary:

The Compliance Examiner is responsible for conducting oversight activities to ensure adherence to regulatory requirements and internal policies across broker/dealer and investment advisory operations. This role plays a key part in risk assessment, compliance testing, procedure development, and regulatory reporting.

Key Responsibilities:

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  Risk Identification & Assessment
  
  Identify and assess operational and regulatory risks; contribute to the firm-wide risk assessment process.
  
  
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  Regulatory Compliance Testing
  
  Perform periodic testing of business units to confirm compliance with Written Supervisory Procedures (WSPs) and departmental protocols.
  
  
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  Procedure Verification & Enhancement
  
  Evaluate the adequacy of existing procedures; work with department leaders to develop, refine, and maintain effective written policies.
  
  
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  Regulatory Report Preparation
  
  Assist in compiling and generating key regulatory reports, including annual reviews under FINRA Rules 3120/3130 and SEC Rule 206(4)-7.
  
  
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  AML & Cybersecurity Compliance Support
  
  Contribute to the implementation and ongoing management of Anti-Money Laundering (AML) and Cybersecurity programs in alignment with regulatory expectations.
  
  
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  Branch Examination Oversight
  
  Manage and monitor the firm's branch examination process, ensuring timely execution and compliance with internal and external requirements.
  
  
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  Vendor Management & Quality Assurance
  
  Oversee third-party vendors conducting branch exams, ensuring their performance meets internal quality standards and regulatory expectations.
  
  
  
  
  Qualifications:
  
  
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    Active or lapsed (eligible for reactivation) FINRA Series 7 and 24 licenses (required)
    
    
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    Minimum 2 years of auditing experience in a broker/dealer environment
    
    
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    Minimum 5 years of overall financial services industry experience
    
    
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    Solid knowledge of Broker/Dealer and Investment Advisory regulations
    
    
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    Familiarity with rules and guidelines from SEC, FINRA, MSRB, and other financial industry regulators
    
    
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    Experience supporting or executing AML and Cybersecurity compliance programs
    
    
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    Proficiency in Microsoft Office applications (Excel, Word, PowerPoint, Outlook)
    
    
    
    
    MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com

Keywords: Mohr Talent, Pflugerville , 33101, Other , Round Rock, Texas