Job Description
Join our dynamic compliance team in Arlington, TX as a Compliance Officer. You'll be instrumental in ensuring our financial operations adhere to federal regulations, industry standards, and internal policies. This role offers a blend of analytical rigor and strategic thinking within a forward-thinking organization committed to ethical excellence.
Responsibilities
- Monitor regulatory changes and implement compliance protocols across financial transactions
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and maintain comprehensive compliance documentation and training programs
- Collaborate with legal and executive teams on regulatory reporting and investigations
- Lead remediation initiatives for compliance violations with detailed action plans
- Advise stakeholders on regulatory requirements and best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and anti-money laundering regulations
- Advanced proficiency in compliance software and data analytics tools
- Professional certification (CRCM, CAMS, or CCEP) highly desirable
- Exceptional written communication and report-writing skills