Job Description
Join Lexington Financial Group as a Compliance Officer and start your career tomorrow! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our dynamic financial services environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make an immediate impact in a growing organization.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, state laws) to update compliance protocols
- Conduct internal audits and risk assessments across departments
- Develop and implement compliance training programs for 50+ employees
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports for FINRA, SEC, and state authorities
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- FINRA Series 65 or 63 license required
- Advanced knowledge of SEC/FINRA regulations
- Proficient in compliance software (e.g., Smartsheet, Compliance.ai)
- Strong analytical and problem-solving skills
- Excellent written/verbal communication abilities