Job Description
Join our elite compliance team with industry-leading paid training designed to accelerate your career. As a Compliance Officer at Fort Worth Financial Group, you'll safeguard our operations while gaining expertise in regulatory frameworks, risk assessment, and ethical standards. This full-time role offers structured mentorship, certification support, and a clear path to senior leadership. Enjoy competitive benefits, professional development stipends, and a dynamic workplace culture committed to excellence. Transform your potential into expertise with our comprehensive paid training program.
Responsibilities
- Develop and implement internal compliance policies aligned with federal (SEC, FINRA) and state regulations
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Monitor regulatory changes and advise stakeholders on implementation requirements
- Train staff on compliance protocols and ethical business practices
- Investigate violations and recommend corrective actions with documentation
- Prepare regulatory reports for FINRA, SEC, and Texas State Securities Board
- Collaborate with legal team on compliance initiatives and policy updates
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 0-2 years experience (paid training provided for qualified candidates)
- Strong analytical skills with attention to detail
- Ability to interpret complex regulatory documents (SEC, FINRA, state laws)
- Excellent written/verbal communication and presentation skills
- Proficiency in compliance software (e.g., Compliance.ai, DiligenceVault)
- Professional certification eligibility (CAMS, CCEP preferred)