Job Description
Are you a detail-oriented professional with a passion for regulatory excellence? Fort Worth Compliance Partners is seeking a dedicated Compliance Officer to join our growing team in Fort Worth, Texas. In this pivotal role, you will ensure our operations adhere to federal and state regulations while safeguarding the integrity of our financial systems.
We offer a competitive salary package, comprehensive benefits, and a collaborative work environment where your expertise will directly impact our success. If you are ready to start tomorrow and make a difference, we want to hear from you.
Responsibilities
- Monitor and ensure strict adherence to federal, state, and local laws, including FINRA, SEC, and BSA regulations.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Develop, update, and communicate internal policies and procedures to all staff members.
- Coordinate with external auditors and regulatory bodies to ensure smooth inspection processes.
- Investigate reported violations and recommend effective corrective actions.
- Provide ongoing compliance training to the organization to foster a culture of adherence.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- Minimum of 3-5 years of experience in compliance, risk management, or auditing.
- Strong working knowledge of SEC and FINRA regulations is highly preferred.
- Excellent analytical skills with a keen attention to detail and accuracy.
- Strong verbal and written communication skills for reporting and training.
- Ability to manage multiple priorities in a fast-paced regulatory environment.