Job Description
Join our dynamic compliance team at Regulatory Solutions Group, a leader in financial oversight. We're seeking a detail-oriented Part-Time Compliance Officer to ensure adherence to federal and state regulations in our Dallas operations. This hybrid role offers flexible hours while making a significant impact on regulatory integrity.
Responsibilities
- Monitor and implement compliance policies for FINRA, SEC, and Texas State regulations
- Conduct internal audits and risk assessments across departmental processes
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on regulatory updates and compliance best practices
- Manage documentation and maintain audit trails per regulatory standards
- Collaborate with legal counsel on regulatory changes and policy updates
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance/regulatory experience in financial services
- Active CCEP (Certified Compliance and Ethics Professional) certification preferred
- Proficiency with compliance management software (e.g., Compliance 360)
- Strong analytical skills with attention to regulatory detail
- Excellent written communication for reporting and documentation
- Ability to work independently with minimal supervision