Job Description
We love finance, software, and (believe it or not), taxes - that's why we love what we do! At Avantax, we celebrate our diverse experience and unique contributions and use our combined knowledge to blaze new trails in tax-focused investing. As individuals, we contribute valuable insight from our career history to achieve the Avantax mission. As a team, we work together to make a real impact and have a lot of fun along the way. Our collaborative work features decades of expertise in wealth management.
We bring our unique experiences together to form the heart of Avantax - working in unison toward the goal of creating services that make it easy for clients and professionals to pursue their financial and business goals. At Avantax, we are committed as a company and individuals to the diversity, equity and inclusion of our clients, team members and the communities in which we work.
Are you an innovative problem-solver who's eager to take on new challenges, collaborate with diverse team members and achieve excellence? If so, life at Avantax may be the opportunity for you.
Position Summary Avantax is seeking a
Compliance Consultant II - Advisory Supervision that will be responsible for conducting the review of new securities accounts, managed account reviews, and review of various advisory supervision exceptions reports or alerts.
Essential Duties & Responsibilities The major responsibilities of the position are listed below. To perform the job successfully, the individual must be able to execute each essential duty satisfactorily. Reasonable accommodation may be made to enable individuals with disabilities to perform essential functions.
- Analyze exception reports for compliance with Firm policies and procedures, as well as all applicable laws and regulations.
- Accurately, and within established timelines, work daily, weekly, and quarterly reports.
- Effectively communicate policies to internal team members and the Firm's registered representatives.
- Collaborate with other compliance staff, internal team members, or registered representatives.
- Participate in and provide compliance support for projects and initiatives with low to moderate risk to identify, assess, and mitigate regulatory risk in business activities.
- Apply knowledge and expertise to influence others to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls.
- Identify opportunities for improvement in the firm's processes/procedures and make recommendations for changes including training for registered representatives and employees.
- Keep abreast of new rules and regulations that are impactful to the Firm to assist in the continued development and implementation of current policies and procedures.
- Contribute to the development, implementation, and communication of Corporate Compliance's missions, goals, and strategies.
- All other duties as assigned.
Education & Experience - 1-2 years of Broker/Dealer Compliance experience.
- Basic understanding of investment products and concepts.
- Proficiency in Microsoft Office Suite with expert knowledge of Excel and Access.
- Proven investigative, problem-solving, and analytical skills.
- Ability to demonstrate organizational skills, attention to detail, time management, and adherence to strict deadlines in a fast-paced environment.
- Team player but possesses the ability to work independently when needed.
- Strong written and oral communication skills are required.
- Series 7, 24, 65, or 66 are required.
Physical Demand & Work Effort - Keying/typing, standing, walking.
- Sitting for an extended period.
- Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.
- The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.
- Compliance with company attendance standards.
Comprehensive Benefits We offer a competitive salary, and outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with company match.
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At Avantax®, we believe our work benefits from the diverse perspectives of our employees. As such, Avantax welcomes and celebrates diversity and inclusion and is committed to equal opportunity employment. At Avantax, you can expect a supportive, open, and inclusive atmosphere and a team that values your contributions.
Avantax and its business lines, Avantax Wealth Management® and Avantax Planning Partners℠ are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants without regard to race, color, religion, sex, national origin, age, physical and mental disability, marital status, sexual orientation, gender identity, veteran status, and any other status protected under federal or state law.
Avantax considers information gathered in the hiring process, including information on this application, confidential, and only shares it on a need-to-know basis or as required by law.
If you need assistance or accommodation due to a disability, you may contact us at HR@Avantax.com, or by calling 972-870-6000 to speak with a member of the HR Talent Acquisition team.
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