Regulatory Compliance Manager - Broker Dealer and Registered Investment Advisor

Lockton   •  

Dallas, TX

Industry: Accounting, Finance & Insurance


8 - 10 years

Posted 205 days ago

This job is no longer available.


The Regulatory Compliance Manager is a member of the compliance team that supports Lockton Retirement Services and is responsible for creating, implementing, and monitoring programs, policies, and practices that ensure that Lockton and its Clients meet or exceed regulatory standards.

 Lockton Retirement Services is looking for an experienced Compliance Manager to support our broker dealer and registered investment advisor with adherence to regulatory standards and internal compliance policies. You will be responsible for enhancing and managing the control environment as well as providing guidance on compliance matters.

A great candidate for this role is well-versed in regulatory guidelines and best practices for a growing broker dealer and registered investment advisor in the retirement and wealth management business; is a compliance professional with high ethical standards who will work diligently to complete assigned duties keeping in mind the objectives of the business; must be comfortable in fast-paced growth environment, helping the business find alternative solutions and be results oriented and solution-minded.

The goal is to maintain the company’s standard of care while supporting business growth and profitability.

Role Responsibilities:

  • Draft, modify and implement compliance policies in accordance with FINRA, SEC and other regulatory agencies.
  • Develop and oversee compliance control systems to prevent or deal with violations of regulatory guidelines and internal policies
  • Develop and revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues
  • Collaborate with OSJ managers to monitor enforcement of standards and regulations
  • Assess the business’ future ventures to identify possible compliance risks and mitigation tactics
  • Review the work of colleagues when necessary to identify compliance gaps and provide advice or training
  • Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
  • Prepare reports for senior management and external regulatory bodies as appropriate
  • Coordinate and conduct regulatory reviews, including Branch audits, as needed.
  • Perform other responsibilities and duties as needed


  • Typically requires eight to ten years of experience in the field
  • Proven experience as a compliance manager or similar role
  • Securities licenses including Series 6 or 7 and 24 or 26 required, Series 79 not required, but preferred.
  • In depth knowledge of industry trends and governmental regulations
  • Strong analytical ability to organize data, create reporting processes, and make informed decisions
  • Business acumen coupled with dedication to compliance
  • Ability to multi-task and reprioritize as necessary
  • Ability to work constructively with varied levels of professionals
  • Excellent written and oral communication skills
  • Ability to comply with all company policies and procedures, proactively protecting confidentiality of employee, client and company information
  • Ability to efficiently organize work and manage time to meet deadlines
  • Ability to travel to perform branch reviews, attend company meetings and industry events
  • Ability to work outside of normal business hours as needed
  • Legally able to work in the United States