Job Description
Join our dynamic compliance team in Dallas as a Part-Time Compliance Officer. This role is perfect for detail-oriented professionals seeking flexible hours while making a significant impact in regulatory oversight. You'll ensure our financial operations adhere to federal and state regulations, safeguarding our clients and reputation. Enjoy a supportive environment with growth opportunities and competitive compensation.
Responsibilities
- Monitor and implement compliance policies aligned with FINRA, SEC, and Texas state regulations
- Conduct internal audits and risk assessments for financial products and services
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Train staff on regulatory updates and best practices
- Investigate and resolve compliance breaches with corrective action plans
- Stay current on evolving financial regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and Texas state laws
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software and MS Office Suite
- Ability to work independently with minimal supervision