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Compliance Officer

Location: Houston, Texas 77019
Posted:Wed, April 03, 2019
Salary:Up to US$0.0 per hour
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If you're really interested, then please share the updated copy of your resume at

This is Karan, Senior Recruiter working with Manpower Group - Experis.

Position Details:

Client: Direct

Job Title: Senior Compliance Analyst / Compliance Officer

Location: Houston, TX - 77019

Duration: up to 12 months (high possibility of conversion to FTE)

Job Description

  • Handle escalated matters arising from regulatory inquiries, customer complaints or internal investigations.
  • Oversee and lead policy/procedure review/revisions.
  • Assist in risk assessment/remediation work.
  • Work with the business, Compliance team and other stakeholders on process design/development.
  • Assist Group Retirement/CCO in preparing senior management reports.
  • Assist in branch exam oversight/escalation work.


  • Formerly held a FINRA series 24 or 7 licenses a plus.
  • Broker dealer/investment advisory experience a plus.
  • Must be able to manage processes/projects.
  • Must be able to work in a fast paced environment and handle multiple priorities.
  • Must be able to work independently.
  • Strong problem solving skills.

I would really appreciate if you can refer or help to someone sharing this job. Have a wonderful day!


Karan Gaur
Senior Recruiter

M: 414-323-8455 ext 7113

Experis is an Equal Opportunity Employer (EOE/AA)

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