Job Description
Join our dynamic Austin team as a Compliance Officer and become the guardian of regulatory excellence. In this pivotal role, you'll ensure our financial operations adhere to stringent industry standards while fostering a culture of ethical integrity. Collaborate with cross-functional teams to navigate complex regulatory landscapes and implement robust compliance frameworks. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in one of America's most vibrant tech hubs.
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, OCC) to ensure organizational compliance
- Develop and implement compliance policies, procedures, and training programs
- Conduct risk assessments and internal audits across all business units
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain comprehensive documentation
- Advise senior leadership on emerging compliance risks
- Coordinate with legal counsel during examinations and enforcement actions
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- Strong knowledge of financial regulations and risk management frameworks
- Excellent analytical skills with attention to detail
- Certified Compliance & Ethics Professional (CCEP) designation required
- Proficiency in compliance software (e.g., Certify, OneTrust)
- Exceptional communication and stakeholder management abilities