Job Description
Join our dynamic compliance team in Lubbock, TX as a Compliance Officer where you'll safeguard our organization's integrity through rigorous regulatory oversight. This premium opportunity offers career advancement while protecting our clients' interests in a fast-paced financial environment. We're seeking a detail-oriented professional passionate about ethical standards and risk mitigation.
Responsibilities
- Monitor federal/state regulations (SOX, AML, Dodd-Frank) and implement corrective actions
- Conduct internal audits and risk assessments across all departments
- Develop/update compliance policies and training programs for 200+ employees
- Investigate potential violations and prepare detailed regulatory reports
- Liaise with external auditors and regulatory bodies during examinations
- Coordinate with legal team on compliance-related litigation matters
- Lead cross-functional compliance initiatives for new product launches
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- CCEP or CCEP-I certification required
- Advanced knowledge of FINRA/SEC regulations and BSA/AML protocols
- Expertise in compliance software (e.g., RSA Archer, MetricStream)
- Strong analytical skills with attention to regulatory nuances
- Exceptional written/verbal communication for stakeholder reporting
- Proven ability to manage competing priorities in high-pressure environments