Job Description
Join Austin's premier financial institution as a Compliance Officer! We're seeking a detail-oriented professional to safeguard our operations and regulatory integrity. You'll work in a dynamic environment where your expertise directly impacts our commitment to ethical practices and client trust. Enjoy competitive benefits, professional development opportunities, and collaborate with industry leaders in the heart of Austin's thriving tech and finance hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Prepare comprehensive regulatory reports and documentation for stakeholders
- Train staff on compliance policies and procedures through engaging workshops
- Investigate potential violations and recommend corrective actions
- Stay updated on regulatory changes and advise leadership on implications
- Collaborate with legal and audit teams for seamless compliance integration
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Strong knowledge of FINRA, SEC, and Texas state regulations
- Excellent analytical and problem-solving abilities
- Certified Regulatory Compliance Manager (CRCM) or equivalent designation
- Proficient in compliance software (e.g., OnBase, LogicGate)
- Exceptional communication skills with ability to translate complex concepts
- Proven experience developing compliance frameworks from scratch