Job Description
Join our elite compliance team at FinTech Innovations Corp, a leading financial technology firm revolutionizing the industry. We're seeking a highly motivated Senior Compliance Officer to ensure regulatory adherence while driving innovation in a dynamic environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in our state-of-the-art Plano headquarters.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and regulatory requirements
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal, operations, and audit teams for cohesive compliance frameworks
- Prepare comprehensive reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services/technology
- FINRA Series 7, 24, or 63 certifications required
- Deep knowledge of federal and state financial regulations
- Strong analytical and problem-solving abilities
- Exceptional communication and presentation skills
- Experience with compliance management software (e.g., RSA Archer)
- Certified Regulatory Compliance Manager (CRCM) certification preferred