Job Description
Join our dynamic compliance team in Austin as a Compliance Officer where we provide all necessary equipment to ensure your success! This role offers a hybrid work model with state-of-the-art technology and comprehensive benefits. You'll be instrumental in maintaining regulatory integrity while leveraging our cutting-edge compliance tools and resources.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations
- Conduct risk assessments and internal audits using provided monitoring software
- Prepare detailed compliance reports for executive stakeholders
- Train staff on regulatory requirements using our digital learning platform
- Investigate and resolve compliance violations with our case management tools
- Stay updated on regulatory changes via our proprietary compliance database
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance/regulatory experience
- Certification (CRCM, CCEP, or equivalent) preferred
- Advanced proficiency in compliance management software
- Expert knowledge of FINRA, SEC, and Texas state regulations
- Exceptional analytical and communication skills
- Ability to thrive with provided remote work technology