Senior Compliance Officer

Overview

Senior Compliance Officer - Houston, TX

We are seeking a Senior Compliance Officer to support and strengthen the organization’s regulatory compliance and risk management framework. This role will have hands-on ownership of key compliance activities across AML/KYC, sanctions, data privacy, conduct, and third-party risk, while supporting audits, regulatory inquiries, and continuous improvement of internal controls. This position is ideal for a compliance professional with solid experience who can work independently, exercise sound judgment, and collaborate cross-functionally in a regulated environment.

• Execute and oversee compliance monitoring and screening activities, including transaction reviews, alerts, watchlists, OFAC/sanctions, and PEP checks, documenting findings and escalating exceptions when required
• Own and review KYC/KYB files, ensuring completeness, accuracy, and timely refresh of client documentation
• Maintain, update, and enhance compliance policies, procedures, SOPs, and control documentation
• Support and contribute to risk assessments (customer, product, channel, geography), control testing, and remediation tracking (CAPA)
• Coordinate and monitor mandatory compliance training programs (AML, data privacy, conduct), including completion tracking and reporting
• Prepare compliance reports, dashboards, and audit packs for internal committees, internal/external audits, and regulatory requests
• Support third-party due diligence processes, including vendor screening, onboarding reviews, and compliance clauses
• Maintain and follow up on incident, breach, and complaints logs, ensuring evidence retention and corrective actions
• Monitor regulatory developments and summarize potential business impact for internal stakeholders
• Act as a trusted compliance point of contact for internal teams, providing guidance and best practices

• Bachelor’s degree in Law, Finance, Business, Economics, International Relations, or a related field
• 3–6+ years of experience in Compliance, Risk, Audit, or Regulatory roles
• Strong working knowledge of:
  • AML/KYC and sanctions (OFAC)
  • Data privacy regulations (GDPR, CCPA, or equivalent)
  • Market conduct and regulatory controls (jurisdiction-dependent)
• Experience supporting audits, regulatory exams, or compliance reviews
• Strong documentation, analytical, and control-testing skills
• Proficiency in Excel / Google Sheets, PowerPoint, and Word
• Ability to work independently, manage priorities, and meet deadlines