Job Description
Join our dynamic compliance team in Austin and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across financial operations. This urgent opening offers a chance to shape compliance frameworks while working with cutting-edge technology in a collaborative environment. Enjoy competitive benefits, professional development opportunities, and the chance to join a leader in financial services.
Responsibilities
- Monitor regulatory changes and implement updated compliance policies
- Conduct risk assessments and internal audits across departments
- Develop and maintain compliance documentation and training programs
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and business teams on compliance initiatives
- Prepare regulatory reports and disclosures for federal agencies
- Stay current with FINRA, SEC, and state-specific regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Excellent analytical and problem-solving abilities
- Proficiency with compliance software and data analysis tools
- Strong written and verbal communication skills
- Certified Compliance & Ethics Professional (CCEP) preferred
- Ability to thrive in a fast-paced, deadline-driven environment