Compliance Officer

Job Description

Job Description

We are looking for a dedicated and detail-oriented Compliance Officer to join our team on a contract basis in Dallas, Texas. This role is pivotal in ensuring adherence to regulatory guidelines and company policies while managing the firm’s compliance program effectively. The ideal candidate will possess expertise in compliance operations and regulatory management, contributing to the continuous improvement of our existing frameworks.

Responsibilities :

• Monitor company adherence to policies and regulatory guidelines, ensuring compliance with state regulations and other applicable standards.
• Oversee and manage the firm’s compliance programs, including reporting requirements and regulatory frameworks.
• Conduct assessments and testing of firm activities to identify areas requiring compliance improvements.
• Handle regulatory management tasks, including identifying new requirements, addressing inquiries, and preparing for regulatory examinations.
• Collaborate on the creation and implementation of efficient workflows for compliance processes, such as marketing material reviews.
• Develop initiatives aimed at enhancing compliance awareness across the organization.
• Support stakeholders by drafting, reviewing, and revising broker-dealer compliance policies and procedures.
• Provide expertise in broker-dealer compliance, leveraging industry knowledge to maintain standards and address challenges.
• Proven experience in compliance monitoring and regulatory management.
• Strong knowledge of broker-dealer compliance policies and procedures.
• Ability to assess risk and conduct audits effectively.
• Familiarity with reporting requirements, including FinCEN and other regulatory frameworks.
• Skilled in developing and executing compliance programs and initiatives.
• Experience with centralized supervisory workflows and record-keeping processes.
• Excellent communication and collaboration skills to work with various stakeholders.
• Self or correspondent broker-dealer compliance experience is essential.