Compliance Consultant II - Education & Training - Required: Series 7,24,63

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Job description

Position Summary

Avantax Wealth Management, a subsidiary of Blucora and sister company to Avantax Planning Partners and TaxAct is seeking a Compliance Consultant II - Compliance Education and Training Consultant* ("CETC")* performs a key role in the education and training of Financial Professionals, Wealth Management Assistants, and employees, with a primary focus of education and training activities for compliance with the various state, FINRA, and federal securities rules and regulations. The CETC will assist with the Compliance Education and Training program, working to provide proactive and reactive training that is timely, current, relevant, comprehensive, easily accessible, consistent, practicable, relatable, and understandable. The CETC works to create a collaborative, team-based approach within the department while working in conjunction with the other team leads, the Avantax Learning & Development department, and other organization departments, to coordinate the overall compliance training program.

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 accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Manage the Firm Element CE program. This includes the Needs Analysis, coursework, questionnaire/affirmations, and annual compliance session.

• Create and maintain the communications plan and content for the Compliance department's educational materials. This includes but is not limited to newsletters, weekly and on-demand articles/content, Wealth Management Assistant training calls/webcasts, other compliance training for the company, and educational content on the Compliance page on the company website.

• Meet with department leaders and staff, as well as others outside of the Compliance organization, to identify compliance education and training needs for advisors, assistants, and staff.

• Projects will be assigned on a periodic basis, primarily related to the education and training of our advisors, assistants, and staff.

• Contribute to the development, implementation, and communication of the Compliance department's missions, goals and strategies.

• Helps develop and maintain the firm's policies and procedures.

• Flexible to perform other job duties as needed.

Education & Experience

• College degree required. In lieu of a college degree, a minimum of (6) years of compliance experience is preferred, or an equivalent combination of education and experience sufficient to successfully perform the essential functions of the job.

• A minimum of (4) years of experience working for or with a broker/dealer, preferably in Legal/Compliance.

• Must have reasonable knowledge of the financial services industry, FINRA and SEC regulations, general broker-dealer operations, and compliance functions/processes.

• Able to interpret FINRA and SEC regulations, FINRA Regulatory Notices, compliance notices, and other publications concerning broker/dealer regulation.

• Series 7, 63, and 24 are required.

• Proficiency in MS Office Suite required, primarily Word and PowerPoint.

• Basic graphic design skills preferred but not 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, 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.

#Avantax

Job Type: Full-time

Pay: Up to $90,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Disability insurance
• Employee assistance program
• Employee discount
• Flexible schedule
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Professional development assistance
• Referral program
• Relocation assistance
• Retirement plan
• Tuition reimbursement
• Vision insurance

Schedule:

• 8 hour shift

Supplemental Pay:

• Bonus pay

Education:

• Bachelor's (Preferred)

Work Location:

• One location

Work Remotely:

• Temporarily due to COVID-19