Job Description
Join our dynamic compliance team in Austin's thriving tech sector! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across financial operations. This immediate hire role offers competitive compensation and the chance to shape compliance frameworks in a fast-paced environment. Apply today to start your career in regulatory excellence!
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws)
- Conduct internal audits and compliance risk assessments
- Develop/update compliance policies and procedures
- Train staff on regulatory requirements and best practices
- Investigate potential violations and implement corrective actions
- Manage compliance reporting for executive leadership
- Collaborate with legal and finance departments on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Compliance.ai)
- Excellent written/verbal communication abilities
- Ability to thrive in deadline-driven environments