Job Description
Join our dynamic team as a Compliance Officer in Arlington, TX! We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. You'll be instrumental in safeguarding our operations against financial and legal risks while supporting our mission to deliver innovative financial solutions with integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (Dodd-Frank, AML, BSA)
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on policy updates
- Prepare comprehensive compliance reports for stakeholders and regulators
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Advanced knowledge of FINRA, SEC, and state regulations
- Exceptional analytical and problem-solving skills
- Strong proficiency in compliance software (e.g., OnBase, Wolters Kluwer)