Job Description
Join our award-winning compliance team in Austin, TX! We're seeking a detail-oriented Compliance Officer to drive regulatory excellence within our rapidly growing financial services firm. This critical role offers a competitive salary structure plus a $15,000 sign-on bonus for qualified candidates. Enjoy hybrid work arrangements, comprehensive benefits, and career advancement opportunities in one of America's most dynamic cities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct risk assessments and internal audits across business units
- Prepare regulatory reports and maintain documentation for exam readiness
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance experience in financial services
- Relevant certifications (CRCM, CAMS, CCEP) strongly preferred
- Deep knowledge of FINRA rules and SEC regulations
- Exceptional analytical and problem-solving abilities
- Experience with compliance software (e.g., Actimize, Nasdaq)
- Strong written/verbal communication skills