Job Description
Join Lubbock Financial Group as our next Compliance Officer and become a guardian of ethical business practices in the heart of West Texas. We're seeking a detail-oriented professional to navigate the complex landscape of financial regulations while fostering a culture of integrity. This pivotal role offers the opportunity to shape compliance frameworks, protect our clients, and contribute to our mission of delivering secure financial services. Enjoy a collaborative environment with competitive benefits and professional growth opportunities in Lubbock's thriving financial sector.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, Texas Finance Code)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical practices
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal, operations, and senior leadership teams
Qualifications
- Bachelor's degree in Finance, Business Administration, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Texas state laws
- Excellent analytical skills and attention to detail
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional written/verbal communication abilities
- Proficient with compliance software (e.g., Covidity, Alacris)
- Ability to work independently in a fast-paced environment