HQ Platinum · 2 days ago
Senior Compliance Officer
Houston, Estados Unidos, US
Full-time
Onsite
Mid, Senior Level
3+ years expHuman Quality - HQP is seeking a Senior Compliance Officer to support and strengthen the organization’s regulatory compliance and risk management framework. This role involves overseeing compliance activities across AML/KYC, sanctions, data privacy, and third-party risk, while also supporting audits and internal controls.
Human Resources
Responsibilities
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
Qualification
Required
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)
Strong working knowledge of Data privacy regulations (GDPR, CCPA, or equivalent)
Strong working knowledge of 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
Company
HQ Platinum
HQ Platinum es una división de Human Quality, un equipo altamente especializado en la búsqueda y selección de talentos específicos de mandos medios, altos y directivos.
201-500 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase