Job Description
Join our dynamic team as a Senior Compliance Officer in Austin, TX! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical practices across our financial operations. This role offers competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact in a rapidly growing fintech company. If you're passionate about compliance excellence and thrive in collaborative environments, we want to hear from you!
Responsibilities
- Monitor and interpret evolving federal, state, and local regulations affecting financial services
- Develop, implement, and maintain robust compliance policies and procedures
- Conduct thorough internal audits and risk assessments across departments
- Lead regulatory reporting initiatives and ensure timely submissions to authorities
- Provide compliance training to staff and foster a culture of ethical conduct
- Collaborate with legal, finance, and operations teams to address compliance gaps
- Manage compliance documentation and maintain audit-ready records
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- Deep knowledge of FINRA, SEC, and Texas state regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Exceptional analytical skills with attention to detail
- Strong written and verbal communication abilities
- Experience with compliance management software (e.g., Diligent, OneTrust)
- Proven ability to thrive in fast-paced, regulated environments