Job Description
Join our dynamic team at Innovate Financial Solutions as a Compliance Officer in the heart of Austin, TX. You'll be instrumental in safeguarding our operations against regulatory risks while fostering a culture of integrity and ethical excellence. This role offers the opportunity to shape compliance frameworks in a fast-paced fintech environment with competitive benefits and career growth.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC)
- Conduct internal audits and risk assessments to identify compliance gaps
- Advise stakeholders on regulatory changes and mitigation strategies
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train employees on compliance policies and procedures
- Manage investigations of compliance breaches and implement corrective actions
- Stay updated on industry regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services or fintech
- Strong knowledge of FINRA, SEC, and AML regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Excellent written/verbal communication abilities