Job Description
Join our dynamic compliance team as a remote-friendly Compliance Officer in Charlotte, NC! We're seeking a detail-oriented professional to ensure regulatory adherence while supporting our mission to deliver exceptional financial services. Enjoy competitive compensation, flexible work arrangements, and career growth in a forward-thinking environment.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, FCA) to update compliance policies
- Conduct internal audits and risk assessments across financial operations
- Develop and implement compliance training programs for 200+ employees
- Investigate potential violations and prepare regulatory reporting documentation
- Collaborate with legal and audit teams to ensure cohesive risk management
- Maintain electronic tracking systems for compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years in compliance/regulatory role within financial services
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation preferred
- Advanced knowledge of FINRA, SEC, and AML regulations
- Proficiency with compliance management software (e.g., Adenza, MetricStream)
- Exceptional analytical skills with attention to detail
- Strong written communication for policy documentation