Job Description
Join our dynamic team in Houston as a Compliance Officer where you'll be instrumental in safeguarding our organization's integrity. This pivotal role offers the opportunity to shape regulatory frameworks and drive ethical excellence in one of America's most vibrant financial hubs. Enjoy competitive benefits, professional development opportunities, and a collaborative culture that values innovation and compliance excellence.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, OCC) and state requirements
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Provide expert guidance on regulatory changes affecting financial operations and investment products
- Train staff on compliance policies, AML protocols, and ethical standards
- Investigate and resolve compliance violations with appropriate corrective actions
- Prepare detailed reports for senior management and regulatory bodies
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of SEC regulations, FINRA rules, and Texas state compliance requirements
- Proven ability to interpret complex regulatory frameworks and implement practical solutions
- Exceptional analytical skills with attention to detail
- Strong communication skills for training and stakeholder collaboration
- Experience with compliance software and risk assessment tools