Job Description
Join our dynamic compliance team in Austin's thriving financial district! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and drive ethical business practices. This immediate hire opportunity offers competitive compensation, comprehensive benefits, and the chance to make a tangible impact in a rapidly growing organization.
Responsibilities
- Develop and implement compliance monitoring systems to detect regulatory risks
- Conduct internal audits and prepare detailed compliance reports for stakeholders
- Stay updated on federal/state regulations (SEC, FINRA, etc.) and advise on changes
- Train staff on compliance protocols and ethical standards
- Collaborate with legal and audit teams to resolve compliance issues
- Manage compliance documentation and maintain audit trails
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of SEC/FINRA regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Ability to thrive in fast-paced, deadline-driven environments