Job Information
Arkansas Employer Arvest Wealth Management Compliance Specialist 2 in Lincoln, Arkansas
This job was posted by https://www.arjoblink.arkansas.gov : For more information, please see: https://www.arjoblink.arkansas.gov/jobs/4410266
This individual will work as a member of the AWM compliance team creating, communicating, and testing investment, trust and insurance policies and procedures; monitoring Client Advisor sales and service activities, and ensuring completing of continuing education; resolving customer complaints and assisting examiners with internal and external examinations.
We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.
What Youll Do at Arvest: (Other duties may be assigned.)
Monitor and review communications with the public (i.e., advertisements, newsletters, brochures and electronic mail), in compliance with FINRA regulations.
Work with compliance team conducting internal investigations, trade/sales surveillance, and customer complaint resolution.
Work with compliance team conducting off-site branch reviews on an on-going basis.
Monitor, test, and communicate the system of policies and procedures to ensure the delivery of quality customer service.
Work with compliance team to create, update and amend a system of policies and procedures for Supervisors, Client Advisors, and Assistants.
Work with compliance team coordinating internal training on policies and procedures for all AWM associates.
Make required filings with appropriate government agencies (FINRA, OCC, SEC) regarding licensing, examinations, continuing education, and state registrations.
Assist internal and external regulatory examiners with audits and exams.
Attend training sessions & other meetings as requested.
Understand and comply with bank policy, laws, regulations, and the bank\'s BSA/AML Program, as applicable to your job duties. This includes but is not limited to; complete compliance training and adhere to internal procedures and controls; report any known violations of compliance policy, laws, or regulations and report any suspicious customer and/or account activity.
Supervisory Responsibilities
May supervise one or more associates. Carries out supervisory responsibilities in accordance with the organizations policies and applicable laws.
