Job Description
Join our dynamic Fort Worth team as a Compliance Officer and make an immediate impact! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. This urgent opening offers the chance to shape compliance frameworks while working with industry leaders in a growth-oriented environment. Apply today to start your career with us immediately!
Responsibilities
- Develop, implement, and monitor compliance policies aligned with FINRA, SEC, and Texas state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Train staff on compliance procedures and regulatory updates
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal teams on regulatory changes and policy updates
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- CCEP or CAMS certification preferred
- Expertise in FINRA regulations and SEC reporting requirements
- Strong analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proficient in compliance management software (e.g., RSA Archer, LogicGate)