Job Description
Join our dynamic compliance team in Austin where we provide all necessary equipment to excel! As a Compliance Officer, you'll ensure adherence to federal and state regulations while maintaining our industry-leading standards. We offer a fully equipped home office setup, including ergonomic furniture, dual monitors, and specialized compliance software licenses. This hybrid role combines remote flexibility with collaborative in-person meetings at our downtown Austin headquarters.
Responsibilities
- Monitor and interpret regulatory changes impacting financial services operations
- Conduct internal audits and compliance assessments across departments
- Develop and implement compliance training programs for 200+ employees
- Investigate potential violations and recommend corrective actions
- Maintain detailed compliance documentation and reporting systems
- Collaborate with legal team on regulatory filings and disclosures
- Lead cross-functional compliance initiatives with IT and Operations teams
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Expert knowledge of federal/state regulations (Dodd-Frank, FINRA, SEC)
- Advanced proficiency in compliance software and data analytics tools
- Exceptional written communication and report-writing skills
- Experience managing remote teams with distributed equipment