Job Description
Join our dynamic compliance team in Laredo, TX and become a guardian of regulatory excellence! We seek a meticulous Compliance Officer to ensure adherence to federal regulations, internal policies, and industry standards. This pivotal role safeguards our organization's integrity while driving continuous improvement in compliance frameworks. Enjoy competitive compensation, comprehensive benefits, and career growth opportunities in a thriving border economy.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Texas state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on compliance protocols and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current with evolving financial regulations through continuous research
- Collaborate with legal and audit teams to ensure cohesive compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification preferred
- Proficiency in compliance software (e.g., OnBase, Compliance 360)
- Deep understanding of AML, KYC, and BSA/AML regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills in English and Spanish
- Ability to work independently and manage competing priorities