Job Description
Join our dynamic compliance team as a Compliance Officer in Arlington, TX, where you'll safeguard our organization's integrity in a fast-paced financial environment. This pivotal role demands meticulous attention to detail and proactive risk mitigation in an ever-evolving regulatory landscape. You'll collaborate with cross-functional departments to implement robust compliance frameworks while championing ethical business practices across all operations.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and documentation for executive leadership
- Train staff on compliance policies and emerging regulatory requirements
- Investigate potential violations and recommend corrective actions
- Stay current with industry regulations through continuous professional development
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance/regulatory experience in financial services
- Relevant certifications (CRCM, CAMS, or CCEP) strongly preferred
- Proficiency in compliance software (e.g., ComplianceEase, Wolters Kluwer)
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication abilities
- Ability to manage competing priorities in a regulated environment