Senior Compliance Officer
Human Quality - HQP
Houston, Texas
Senior Compliance Officer - Houston, TX
About the job
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.
What you’ll do
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
What we’re looking for
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