Job Description
Join our dynamic compliance team at Fort Worth Financial Services and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across all operations. This is your chance to start tomorrow in a high-growth environment where your expertise directly shapes our ethical framework. Enjoy competitive compensation, comprehensive benefits, and a culture that values integrity and innovation. Apply today and become a guardian of our corporate excellence!
Responsibilities
- Monitor and implement compliance policies aligned with federal regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Develop training programs for staff on regulatory requirements
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed reports for executive leadership and regulatory bodies
- Stay current with industry changes through continuous research
- Collaborate with legal and finance teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML procedures
- Certification (CCEP, CRCM, or CCRM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software and MS Office Suite
- Ability to thrive in fast-paced, deadline-driven environments