Compliance Consultant II - Branch Exams (Required: FINRA Series 7, 63)

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 - Branch Exams that will be responsible for assisting the Compliance Team with the implementation and monitoring of a risk-based supervisory program to assure compliance with federal, state, agency, legal, and regulatory requirements.

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.

• Audit Registered Representatives at their offsite locations with little to no guidance ensuring their compliance with firm and regulatory policies and procedures.

• Implement testing methodologies.

• Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls.

• Identify issues, assess ratings, and offer recommendations based on the results of compliance examinations.

• Serves as a resource to level 1 auditors.

• Executes audits that have higher risk and more complexity.

• Train new auditors.

• 50-75% of travel is required.

Education & Experience

• 3 to 5 years of compliance work experience in the financial services industry is required.

• Series 7 and 63 are required.

• Series 24 is preferred.

• Ability to effectively multitask and successfully work on several projects at the same time.

• Ability to demonstrate organizational skills, attention to detail, and adherence to strict deadlines in a fast-paced environment.

• Ability to demonstrate problem-solving/analytical skills and ability to work under pressure in a fast-paced environment.

• Team player but possesses the ability to work independently when needed.

• Strong communication and analytical skills are required.

• Proficiency in MS Office 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 an 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

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 , or by calling 972-870-6000 to speak with a member of the HR Talent Acquisition team.