Job Description
Join our dynamic team as a Compliance Officer in Laredo, TX, where you'll safeguard our organization's integrity and regulatory adherence. This pivotal role requires meticulous attention to detail, proactive risk mitigation, and the ability to thrive in a fast-paced financial environment. You'll collaborate with cross-functional teams to implement robust compliance frameworks, ensuring adherence to federal and state regulations while fostering a culture of ethical excellence. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive workplace.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Texas state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions through detailed reporting
- Train employees on regulatory requirements and ethical standards
- Stay current with evolving compliance legislation through continuous research
- Collaborate with legal and senior leadership on compliance strategy
- Maintain meticulous documentation of all compliance activities
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state compliance regulations (e.g., AML, BSA, Dodd-Frank)
- Excellent analytical skills with ability to interpret complex regulations
- Certified Regulatory Compliance Manager (CRCM) or similar certification required
- Exceptional written/verbal communication and presentation abilities
- Proficient in compliance software (e.g., ComplySci, Wolters Kluwer)
- Ability to handle confidential information with utmost discretion