Job Description
Join our dynamic team at Laredo Financial Group as a Compliance Officer to safeguard our operations against regulatory risks. This pivotal role ensures adherence to federal and state regulations while driving ethical standards across our financial services. You'll collaborate with leadership to implement robust compliance frameworks, conduct thorough audits, and mitigate risks in a fast-paced environment. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in the heart of Laredo's thriving business district.
Responsibilities
- Monitor regulatory changes and update internal policies to maintain compliance with FINRA, SEC, and state banking regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for staff across all departments
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Manage vendor due diligence processes for third-party service providers
- Lead AML (Anti-Money Laundering) program implementation and monitoring
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of banking regulations (Regulations CC, DD, E, Z, etc.)
- Proficiency with compliance software (e.g., Certegy, ACA) and Microsoft Office Suite
- Excellent analytical skills with attention to detail
- Ability to interpret complex regulatory documents and communicate effectively
- Certified Regulatory Compliance Manager (CRCM) or CAMS certification preferred
- Bilingual (English/Spanish) skills required for Laredo market