Job Description
Join our dynamic team as a Compliance Officer in Lubbock, TX! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and drive ethical standards across our operations. This critical role offers competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact in a growing industry.
As a key member of our compliance department, you'll safeguard our organization against legal and financial risks while fostering a culture of transparency. We offer a supportive environment with career advancement opportunities and flexible work arrangements. Don't miss this urgent opening – apply today to join our mission of excellence!
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Provide comprehensive training to staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed reports for executive leadership and regulatory bodies
- Stay updated on evolving industry regulations and policy changes
- Collaborate with legal and operations teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA regulations, AML protocols, and SEC guidelines
- Advanced proficiency in compliance software (e.g., Certegy, NICE Actimize)
- Excellent analytical skills with attention to detail
- Valid compliance certifications (e.g., CRCM, CAMS) strongly preferred
- Exceptional communication skills for training and reporting
- Ability to handle confidential information with discretion