Job Description
Join our dynamic team as an immediate-hire Compliance Officer in Austin, TX! We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. This critical role requires proactive risk management and collaboration with cross-functional teams to maintain our industry-leading standards. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a rapidly growing financial services firm.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for 200+ employees
- Investigate potential violations and prepare detailed incident reports
- Liaise with regulators during examinations and audits
- Maintain accurate compliance documentation and reporting systems
- Lead compliance initiatives for new product launches and market expansions
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Active CRCM or CCEP certification preferred
- Deep knowledge of federal/state regulations (FINRA, SEC, OCC)
- Advanced proficiency in compliance software (e.g., Fenergo, MetricStream)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication and presentation skills
- Experience managing compliance programs in high-growth environments