Job Title: Compliance Records Assistant
Date Posted: 05-12-2008
Job Location: Texas-Dallas
Job Type: Full Time
Education Level: Bachelors Degree
Work Experience: 2+ to 5 Years
Job Shift: First Shift
Yearly Salary:30K-50K
Company Name: SWS Group, Inc.
Contact Information: J'Leene   Gilliam (jgilliam@swst.com)
Job Description:
• Creates and maintains filing system for Compliance department and files documentation as
needed 
• Provide timely and customized research and reference services by searching a broad range of
electronic databases, including the Internet and print sources. 
• Contacts a range of resources, including internal sources, trade associations and/or
governmental bodies, etc. to answer a variety of queries received from industry oversight
regulators. The information is organized, summarized and presented in the format desired by
the requesting party. 
• Individual will support the intake and catalog processing of books, serials, journals,
microfilm and other documents and reference materials including items to be catalogued in
original format and shelved. 
• Conducts reviews of Registered staff and brokerage statements in compliance with company and
regulatory requirements 
• Distributes and collects the Annual Certification for all staff of the firm as required by
industry regulation 
• Monitors incoming mail to ensure compliant with internal and regulatory requirements. 
• Maintains and updates the departments’ Compliance Calendar 
• Additional duties as required
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