Financial Advisors

Legal and Compliance

Legal
H&R Block Financial Advisors office of general counsel handles a wide array of securities and corporate matters for the company. The attorneys, assisted by a professional staff of paralegals and support personnel, provide counseling and legal services to the company covering a diverse spectrum of issues, including corporate, regulatory litigation and arbitration, real estate and employment matters.

Compliance
H&R Block Financial Advisors must comply with securities regulations and company policies. Compliance monitoring requires extensive knowledge of H&R Block Financial Advisors' business and securities regulations.

H&R Block Financial Advisors' Compliance department routinely:

•  Audits branch offices
•  Reviews client accounts
•  Approves advertising material
•  Processes regulatory inquiries
•  Institutes new policies and procedures
•  Approves the opening of accounts.

Qualifications include a bachelor's degree with work experience in the financial industry. A securities compliance background and a Series 7, 24 and/or regulatory background are preferred.

Get Ahead!
For a rewarding career in Legal or Compliance, join H&R Block Financial Advisors. Register today and see how your skills match up with new career opportunities. Simply provide information regarding your interests, experiences and skills.

Equal Opportunity Employer