Audit Compliance Officer
Experis
Midland, TX, USA
Published 1 week ago
Business Compliance
Fixed Term Contract
Our client, a leader in the financial services industry, is seeking an Audit Compliance Officer to join their team. The ideal candidate will have strong understanding FINRA, Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer which will align successfully in the organization.
Job Title: Audit Compliance Officer
Location: Midland, Texas (Need to travel 4 times per month)
Duration: 3 Months Contract
What's the Job?
About ManpowerGroup, Parent Company of: Manpower, Experis, Talent Solutions, and Jefferson Wells
ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills. Our expert family of brands - Manpower, Experis, Talent Solutions, and Jefferson Wells - creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2023 ManpowerGroup was named one of the World's Most Ethical Companies for the 14th year - all confirming our position as the brand of choice for in-demand talent.
Job Title: Audit Compliance Officer
Location: Midland, Texas (Need to travel 4 times per month)
Duration: 3 Months Contract
What's the Job?
- Conduct virtual and on-site inspections to ensure compliance with FINRA Rules and internal policies.
- Review work performed by offshore examiners for accuracy and completeness.
- Engage in discussions with branch personnel to summarize reviews and document findings.
- Prepare and distribute final reports to stakeholders, including senior management.
- Contribute ideas for program enhancements through industry research and collaboration.
- Bachelor's degree in a relevant field.
- Knowledge of FINRA, SEC, and MSRB regulations.
- Experience in Compliance Testing, Quality Assurance, or Internal Audit.
- Familiarity with Capital Markets and Wealth Management products.
- Master's or law school degree preferred; FINRA registrations are a plus.
About ManpowerGroup, Parent Company of: Manpower, Experis, Talent Solutions, and Jefferson Wells
ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills. Our expert family of brands - Manpower, Experis, Talent Solutions, and Jefferson Wells - creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2023 ManpowerGroup was named one of the World's Most Ethical Companies for the 14th year - all confirming our position as the brand of choice for in-demand talent.