Job Description
Join our dynamic team as a Compliance Officer and launch your career tomorrow! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our financial operations. This is your opportunity to make an immediate impact in a fast-paced, growth-oriented environment.
Houston Financial Partners offers competitive compensation, comprehensive benefits, and a culture that values professional development. If you're ready to start your compliance journey tomorrow, we want to hear from you!
Responsibilities
- Monitor and enforce compliance with federal/state regulations (FINRA, SEC, etc.)
- Conduct internal audits and risk assessments to identify gaps
- Develop/update compliance policies and procedures
- Provide regulatory training to staff across departments
- Investigate and resolve compliance incidents
- Prepare detailed reports for senior leadership and regulators
- Collaborate with legal teams on regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/audit experience in finance
- Strong knowledge of financial regulations
- Certification (CCEP, CRCM) preferred
- Excellent analytical and problem-solving skills
- Proficient in compliance software and MS Office
- Ability to work independently and under pressure