Job Description
Join our dynamic team as a Compliance Officer in Houston's thriving financial district! We're seeking a detail-oriented professional to safeguard our organization against regulatory risks while driving ethical business practices. This role offers competitive compensation, comprehensive benefits, and opportunities for career growth in a forward-thinking environment. If you're passionate about compliance excellence and want to make a tangible impact, apply today!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, CFTC) and state-specific requirements
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Prepare detailed reports for senior management and regulatory bodies
- Stay current with industry changes through continuous research and professional development
- Collaborate with legal and operational teams to ensure seamless compliance integration
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Strong knowledge of banking regulations and anti-money laundering frameworks
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency with compliance management software (e.g., ComplyAssistant, LogicGate)
- Ability to manage multiple projects under tight deadlines