Compliance Officer

Softcard (acquired by Google)

. Ensure that regulatory and compliance reports are filed timely and correctly .

Posted 9/29/2026full-timeAtlanta • Texas • United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance and reporting, ensuring adherence to SEC, CFTC/NFA, and FINRA regulations. Proficient in documenting compliance procedures and addressing compliance issues within trading strategies and technology controls.

Highest-signal resume keywords

Regulatory ComplianceSecurities Regulation KnowledgeExperience with SEC, CFTC/NFA, FINRADocumentation and Reporting SkillsFamiliarity with Trading Systems

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ReportingCompliance DocumentationSecurities Act KnowledgeBack-Office OperationsFinancial Services Regulations

Tools & Technologies

Microsoft Office SuiteBloombergCharles River

Industry Keywords

Financial Services IndustrySecurities LawsCompliance MonitoringTrading StrategiesEthical Standards

About the role

Key responsibilities & impact

Ensure that regulatory and compliance reports are filed timely and correctly
Assist in responding to regulatory inquiries
Ensure all compliance procedures are appropriately documented
Address day-to-day compliance issues related to trading strategies and technology-related controls
Prepare documentation to support reviews and demonstrate adequate processes and controls to meet SEC/regulatory requirements and ensure compliance with policies and procedures
Interact with members of the global compliance team to assess, document, monitor, report, develop, coordinate, and implement compliance monitoring activities, ongoing testing, and related controls
Ensure the company's business complies with applicable rules and regulations, regulatory requirements, internal company policies, and ethical standards

Requirements

What you’ll need

Bachelor's degree in a relevant field of study is required
Experience with the regulatory environment (SEC, CFTC/NFA, FINRA)
Knowledge of Securities Act of 1933, 34 and Securities Exchange Act of 1940
Familiarity with trading systems and their compliance components such as Bloomberg, or Charles River is a plus
Knowledge of securities regulation, as it relates to operations within the financial services industry preferred
Working knowledge of back-office operations, financial services industry and securities laws/regulations are a plus
Proficiency in the Microsoft Office suite of applications is a plus

Benefits

Comp & perks

Flexible paid time off
Hybrid work schedule
401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
Health & wellbeing benefits
Parental Leave benefits
Employee stock purchase plan