Job Description
Join our award-winning compliance team as a Compliance Officer in Tulsa, OK! We provide all necessary equipment including laptops, ergonomic workstations, and specialized compliance software to ensure your success. This role is perfect for detail-oriented professionals who thrive in regulated environments.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments across business operations
- Prepare comprehensive compliance reports for executive leadership
- Train staff on regulatory requirements and best practices
- Manage compliance documentation and recordkeeping systems
- Collaborate with legal and finance departments on policy updates
- Investigate potential compliance violations and recommend corrective actions
Qualifications
- Bachelor's degree in Business, Finance, or related field
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and Oklahoma state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Advanced proficiency in compliance management software
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills