Job Description
Join our dynamic compliance team at Laredo Financial Services Group, where integrity meets innovation. We're seeking a meticulous Compliance Officer to safeguard our operations in the heart of South Texas. In this pivotal role, you'll ensure adherence to federal regulations (including FINRA, SEC, and AML laws), design robust compliance frameworks, and foster a culture of ethical excellence. Enjoy competitive benefits, professional growth opportunities, and the chance to make a tangible impact in a rapidly growing financial hub.
Responsibilities
- Monitor and implement regulatory compliance programs for financial operations
- Conduct internal audits and risk assessments across departments
- Develop and maintain compliance policies/procedures aligned with industry standards
- Train staff on regulatory requirements and ethical practices
- Investigate and resolve compliance violations with corrective action plans
- Liaise with legal counsel and regulatory bodies during examinations
- Stay current on evolving compliance legislation and industry trends
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and AML regulations
- Certified Regulatory Compliance Manager (CRCM) designation a plus
- Exceptional analytical skills with attention to detail
- Excellent written/verbal communication and presentation abilities
- Proficient in compliance software and MS Office Suite
- Ability to handle confidential information with discretion