Job Description
Join our dynamic compliance team in Laredo, TX! We're seeking a detail-oriented Compliance Officer to safeguard our organization's integrity and regulatory adherence. In this pivotal role, you'll ensure compliance with federal, state, and industry regulations while driving ethical business practices. Enjoy competitive compensation, career growth opportunities, and the chance to make a tangible impact in our border community.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Texas state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Provide comprehensive compliance training to staff across departments
- Stay updated on regulatory changes and advise leadership on implications
- Prepare detailed compliance reports for executive stakeholders
- Collaborate with legal team on policy development and regulatory filings
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 26/27 or Series 7/63 certifications required
- Proficiency in compliance software (e.g., ComplySci, Wolters Kluwer)
- Strong analytical skills with attention to regulatory nuances
- Excellent written and verbal communication abilities
- Experience with AML/BSA regulations preferred
- Ability to thrive in fast-paced, cross-functional environments