Job Description
Join Tulsa Financial Solutions as a Compliance Officer and become a guardian of regulatory excellence! We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations. With a competitive salary and an exclusive $10,000 sign-on bonus, this role offers exceptional career growth in a dynamic financial services environment.
Our ideal candidate will thrive in a fast-paced setting, collaborating with cross-functional teams to implement compliance frameworks and mitigate risks. Enjoy comprehensive benefits, professional development opportunities, and the chance to make a tangible impact on our organization's integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Oklahoma state regulations
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate compliance documentation
- Train staff on regulatory requirements and best practices
- Investigate potential violations and recommend corrective actions
- Stay updated on evolving financial regulations and industry trends
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 7 and Series 63/66 certifications required
- Deep knowledge of FINRA, SEC, and Oklahoma financial regulations
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Proficiency in compliance software and Microsoft Office Suite
- Ability to manage multiple priorities in a regulated environment