Job Description
Join our dynamic team as a Compliance Officer where you'll safeguard our organization's integrity in the heart of Arlington's thriving business district. We're seeking a detail-oriented professional to navigate complex regulatory landscapes while driving ethical excellence across all operations.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits to identify potential compliance gaps
- Prepare detailed regulatory reports and documentation for executive/board review
- Train staff on compliance protocols and ethical conduct standards
- Investigate and resolve compliance violations with corrective action plans
- Monitor industry regulatory changes and update policies accordingly
- Collaborate with legal and audit teams for seamless compliance integration
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation preferred
- Deep knowledge of FINRA, SEC, and Texas state regulations
- Advanced analytical skills with regulatory interpretation expertise
- Exceptional written/verbal communication and presentation abilities
- Proficiency in compliance software (e.g., MetricStream, Compli)
- Proven track record of developing effective compliance frameworks