Compliance Specialist

Compliance Specialist

We are one of the largest independently owned banks in Texas with offerings in personal and private banking, wealth management, business banking and mortgage lending.

This role is integral to the firm's compliance infrastructure, working closely with the Chief Compliance Officer to ensure the effectiveness, independence, and regulatory adherence of the firm's compliance program. It is responsible for the oversight and enforcement of regulatory requirements under the Investment Advisers Act of 1940, Rule 206(4)-7, Texas State Securities Board (TSSB) regulations, and other applicable federal and state laws. This role supports ongoing regulatory inspections and examinations, manages compliance reporting and documentation, and acts as a key partner to the RNDP program manager to maintain supervisory controls. It serves as a critical compliance liaison to the investment advisory teams, operational staff, and regulators, driving a culture of compliance across the bank.

Essential Functions :

Compliance Program Management :

• Maintain, update, and enforce the firm's compliance manual, policies, and procedures to ensure alignment with evolving regulatory requirements.
• Monitor adherence to SEC and state securities regulations, including the Investment Advisers Act of 1940 and TSSB 116.7.
• Coordinate and support all regulatory examinations and inquiries, preparing responses and facilitating document requests.
• Track compliance violations, conduct root cause analysis, and oversee implementation of corrective action plans.
• Maintain and manage the compliance calendar, ensuring timely completion of all regulatory obligations and filings.

Regulatory Filings and Reporting :

Audit and Examination Coordination :

Surveillance and Monitoring :

Books and Records Oversight :

Investment Advisory Compliance Oversight :

Risk Management and Controls :

Registered and Access Person Supervision :

Training and Communication :

Collaboration and Partnership :

Experience & Education :

Skills & Qualifications :

Other Requirements :

We're a culture that offers resources to benefit your overall health and well-being :

This job description is not designed to be a comprehensive listing of duties, responsibilities, or activities that are required for this job. Duties, responsibilities, and activities may change at any time with or without notice. Broadway Bank is proud to be an Equal Opportunity Employer. Broadway Bank is a drug-free and tobacco-free workplace, with a nicotine-free hiring policy. All qualified applicants will receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national origin, disability, veteran status, or other legally protected status. Member FDIC