Job Description
Join our award-winning financial services team in Corpus Christi as a Compliance Officer! We're offering an exceptional $10,000 sign-on bonus to qualified candidates who can safeguard our regulatory integrity while driving operational excellence. Enjoy competitive benefits, professional growth opportunities, and a dynamic coastal lifestyle. This role is pivotal in ensuring adherence to FINRA, SEC, and federal regulations while mentoring our growing compliance team.
Responsibilities
- Develop, implement, and monitor compliance programs for financial products and services
- Conduct regular risk assessments and internal audits across business units
- Train employees on regulatory changes and compliance protocols
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and senior leadership on regulatory reporting
- Stay current on industry regulations (e.g., Dodd-Frank, AML) and advise on implications
- Manage compliance documentation and reporting to regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- FINRA Series 24 or 27 certification required
- Expert knowledge of federal/state financial regulations
- Strong analytical and investigative skills
- Excellent written/verbal communication and presentation abilities
- Experience with compliance software (e.g., Adenza, NICE Actimize)
- CRCM or CAMS certification highly desirable