Job Description
Join our dynamic team as a Part-Time Compliance Officer and play a pivotal role in safeguarding our organization's regulatory integrity. This position offers the flexibility of part-time hours while allowing you to make a significant impact in a fast-paced financial environment. You'll ensure adherence to federal and state regulations, implement compliance protocols, and contribute to a culture of ethical excellence. If you're detail-oriented with a passion for regulatory affairs, this opportunity is tailored for you.
Responsibilities
- Monitor and enforce compliance with FINRA, SEC, and Texas state regulations
- Conduct regular audits of financial transactions and documentation
- Develop and update internal compliance policies and procedures
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Train staff on regulatory requirements and ethical standards
- Collaborate with legal counsel on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA Series 24/26 regulations
- Proficiency with compliance software (e.g., ComplianceEase, ACA)
- Excellent analytical and documentation skills
- Ability to work independently with minimal supervision
- Strong attention to detail and problem-solving abilities
- Valid Texas Compliance Officer certification preferred