Job Description
Join our dynamic team in Dallas as a Part-Time Compliance Officer and play a pivotal role in safeguarding our organization's integrity. We seek a detail-oriented professional to ensure adherence to federal regulations, internal policies, and industry standards. This hybrid role offers flexibility while making a tangible impact on our risk management framework. Enjoy competitive compensation, professional development opportunities, and a supportive work environment.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, OCC) to update compliance protocols
- Conduct periodic risk assessments and internal audits across operational departments
- Develop and maintain comprehensive compliance documentation and training materials
- Collaborate with legal and senior leadership on policy development and implementation
- Investigate and resolve compliance breaches through root cause analysis and corrective actions
- Provide guidance to staff on regulatory requirements and ethical standards
- Prepare detailed compliance reports for stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state regulations (e.g., Dodd-Frank, AML)
- Proficiency in compliance software (e.g., Riskonnect, ComplyAssistant)
- Certified Compliance & Ethics Professional (CCEP) designation preferred
- Exceptional analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Ability to work independently with minimal supervision