Job Description
Join our dynamic 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 is your opportunity to start a rewarding career in compliance tomorrow in Fort Worth's thriving business district. Enjoy competitive compensation, comprehensive benefits, and a supportive work environment.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments across departments
- Investigate compliance violations and recommend corrective actions
- Develop and deliver compliance training programs to staff
- Prepare detailed compliance reports for senior management
- Collaborate with legal teams on regulatory filings
- Ensure adherence to FINRA, SEC, and state regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- FINRA Series 63, 65, or 26 certification preferred
- Strong knowledge of financial regulations
- Excellent analytical and problem-solving skills
- Proficiency in compliance management software
- Ability to work independently with minimal supervision
- Exceptional written and verbal communication abilities