Job Description
Join our dynamic team as a Compliance Officer in Lubbock, TX, where you'll safeguard our organization's integrity while shaping a culture of regulatory excellence. This pivotal role combines strategic oversight with hands-on implementation to ensure adherence to federal regulations, industry standards, and internal policies. You'll collaborate with cross-functional departments to develop robust compliance frameworks, conduct risk assessments, and drive continuous improvement initiatives. Ideal for proactive professionals passionate about maintaining ethical operations in the financial services sector.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for executive leadership
- Train staff on compliance policies and regulatory updates through engaging workshops
- Investigate potential violations and recommend corrective actions
- Stay current with evolving regulatory landscape and industry best practices
- Collaborate with legal team to ensure policy alignment with new legislation
Qualifications
- Bachelor's degree in Finance, Business, or related field; advanced degree preferred
- 3+ years of compliance experience in financial services
- FINRA Series 26/27 or 24 certification required
- Proficiency in compliance management software (e.g., Diligent, MetricStream)
- Strong analytical skills with attention to regulatory detail
- Exceptional communication abilities for stakeholder training and reporting
- Experience developing risk-based compliance frameworks
- Proven track record of successful regulatory audits