Job Description
Are you a meticulous professional with a passion for integrity and regulatory excellence? South Plains Financial Group is seeking a dedicated Compliance Officer to join our dynamic team in Lubbock, Texas. In this pivotal role, you will ensure that our organization operates within the bounds of all applicable laws and regulations, safeguarding our reputation and our clients' interests.
Why Join Us?
We pride ourselves on fostering a culture of transparency and accountability. As a Compliance Officer, you will play a critical role in mitigating risk and ensuring our financial practices align with industry standards. We offer a competitive salary package, comprehensive health benefits, and a collaborative environment that encourages professional growth.
If you are ready to take your career to the next level in a stable and rewarding environment, we encourage you to apply today.
Responsibilities
- Monitor and interpret changes in federal and state financial regulations to ensure ongoing compliance.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in our operations.
- Develop, implement, and update internal policies and procedures to meet strict regulatory standards.
- Investigate and resolve compliance issues, escalating significant matters to senior management immediately.
- Prepare and present detailed compliance reports to the Board of Directors and external regulatory bodies.
- Train staff on new compliance policies, regulatory requirements, and ethical standards.
- Coordinate with external legal counsel to navigate complex regulatory landscapes.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- Minimum of 3-5 years of experience in a compliance, auditing, or risk management role.
- Strong knowledge of SEC regulations, FINRA rules, and state banking laws.
- Excellent analytical, critical thinking, and problem-solving skills.
- Strong verbal and written communication abilities with a focus on clarity and precision.
- Certifications such as CFA, CFP, or CAMS are highly preferred.
- Ability to work independently and manage multiple priorities in a fast-paced environment.