Job Description
Join our dynamic team as a Compliance Officer in Lubbock, TX, where you'll play a pivotal role in safeguarding our organization's integrity and regulatory adherence. We offer a collaborative environment where your expertise will drive ethical standards and operational excellence. With competitive compensation and opportunities for professional growth, this is your chance to make a tangible impact in the financial services sector.
Responsibilities
- Monitor regulatory changes and ensure organizational compliance with federal/state laws (e.g., FINRA, SEC, Texas Finance Code)
- Develop, implement, and maintain robust compliance programs and internal controls
- Conduct regular audits and risk assessments to identify compliance gaps
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and procedures through interactive workshops
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and business units to align compliance strategies
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 compliance regulations (e.g., AML, BSA, Dodd-Frank)
- Professional certification (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software and Microsoft Office Suite
- Excellent written/verbal communication with attention to detail
- Ability to manage multiple priorities in a fast-paced environment