Wealth Management Compliance Officer
NextStep Recruiting has partnered with a financial services organization to identify a Wealth Management Compliance Officer in Dallas, TX. This role is 100% onsite and will support broker-dealer and registered investment adviser compliance activities across a multi-location wealth management environment.
This position is ideal for a compliance professional with securities industry experience who understands both regulatory requirements and the practical realities of supporting advisors and branch operations. The right candidate is detail-oriented, confident communicating compliance issues, and comfortable conducting branch reviews and working directly with investment professionals.
Required:
- Series 7 license with 3+ years of broker-dealer, RIA, or wealth management compliance experience
- Experience supporting investment advisers, advisory programs, or Investment Adviser Representatives
- Working knowledge of securities compliance, supervisory requirements, and compliance surveillance
- Ability to identify regulatory or policy issues, document findings, and communicate corrective actions professionally
- Ability to travel approximately 25–30% for branch and compliance reviews
Preferred:
- Series 24, 65, or 66 licenses
- Experience supporting RIA compliance programs and annual compliance reviews
- Familiarity with Form ADV preparation, maintenance, and regulatory filings
- Experience conducting branch office inspections or compliance audits
- Exposure to written supervisory procedures, regulatory examinations, advertising reviews, or customer complaints
This is a strong opportunity for a securities compliance professional who wants broad exposure across wealth management, broker-dealer, and investment advisory compliance while joining an established financial services organization.
NextStep Recruiting provides equal employment opportunities (EEO) to all employees and applicants regardless of race, color, or applicable state and local laws governing nondiscrimination in employment in every location where the company has facilities.