Job Description
Join our dynamic team in Houston as a Compliance Officer to safeguard our financial operations and regulatory integrity. We're seeking a proactive professional to ensure adherence to federal and state regulations while fostering a culture of compliance excellence. This direct-hire opportunity offers competitive compensation, comprehensive benefits, and career growth in a thriving energy sector hub.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and OCC regulations
- Conduct risk assessments and internal audits for financial products and services
- Monitor regulatory changes and update compliance policies accordingly
- Train staff on compliance procedures and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Maintain meticulous documentation for regulatory reporting
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services or energy sector
- Strong knowledge of AML, BSA, and SEC regulations
- Certified Regulatory Compliance Manager (CRCM) designation
- Advanced analytical and problem-solving abilities
- Exceptional written communication and report-writing skills
- Proficiency in compliance management software (e.g., ComplianceEase)