Job Description
Join our award-winning compliance team in Austin's vibrant tech hub! We're seeking a detail-oriented Compliance Officer to navigate complex regulatory landscapes while driving ethical business practices. This role offers a competitive salary plus a $15,000 sign-on bonus for qualified candidates who join by December 2023. Enjoy hybrid work arrangements, comprehensive benefits, and opportunities for professional growth in one of America's most dynamic cities.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial services operations
- Train staff on regulatory updates and ethical conduct policies
- Investigate compliance breaches and recommend corrective actions
- Liaise with legal counsel and regulatory bodies
- Maintain detailed compliance documentation and reporting
- Stay current on evolving financial regulations and industry trends
Qualifications
- Bachelor's degree in Finance, Business, or related field (MBA preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications
- Expert knowledge of federal/state financial regulations
- Strong analytical and problem-solving abilities
- Excellent communication and presentation skills
- Experience with compliance management software (e.g., MetricStream)
- Ability to thrive in fast-paced, deadline-driven environments