Job Description
Join our dynamic team in Arlington, TX as a Compliance Officer and become a guardian of ethical business practices. We're seeking a detail-oriented professional to navigate complex regulatory landscapes and ensure our organization maintains the highest standards of integrity. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive environment.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, Dodd-Frank) to update compliance policies
- Conduct internal audits and risk assessments across departments
- Develop and deliver compliance training programs for staff
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Knowledge of FINRA regulations and SEC guidelines
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities