Job Description
Join our dynamic Austin-based financial services leader as a Compliance Officer and shape the future of regulatory excellence. This pivotal role empowers you to safeguard our organization's integrity while driving innovation in compliance strategy. Enjoy competitive compensation, comprehensive benefits, and the opportunity to work in one of America's most vibrant tech hubs. Your expertise will directly impact our commitment to ethical operations and regulatory adherence.
Responsibilities
- Develop, implement, and maintain robust compliance frameworks aligned with federal and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes (e.g., SEC, FINRA, OCC) and advise on operational impacts
- Design and deliver comprehensive compliance training programs for all departments
- Collaborate with legal and executive teams to ensure policy alignment
- Prepare regulatory filings and manage compliance reporting deadlines
- Lead investigations into potential compliance violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Deep knowledge of FINRA rules, SEC regulations, and AML/BSA requirements
- Strong analytical skills with ability to interpret complex regulatory documents
- Experience with compliance management software and data analytics tools
- Certified Regulatory Compliance Manager (CRCM) or CAMS designation required
- Exceptional communication skills with ability to train diverse stakeholders