Job Description
Join Austin Financial Group as a Compliance Officer and drive regulatory excellence in the heart of Texas' tech hub. We're offering a competitive $15,000 sign-on bonus for qualified candidates who join our dynamic team. As a key member of our risk management division, you'll ensure adherence to federal regulations while shaping compliance frameworks for innovative fintech solutions. Enjoy hybrid work flexibility, comprehensive benefits, and opportunities to influence industry standards in one of America's fastest-growing cities.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance procedures and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Prepare regulatory reports and maintain compliance documentation
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Proficiency with compliance software (e.g., OnBase, ComplySci)
- Strong knowledge of AML, BSA, and Dodd-Frank regulations
- Excellent analytical and communication skills
- Experience managing compliance programs in fintech or banking
- Ability to thrive in fast-paced, regulated environments