Job Description
Join our dynamic team as a Compliance Officer with flexible hours! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy work-life balance with customizable schedules while safeguarding our organization's integrity. You'll collaborate with cross-functional teams and drive compliance initiatives that protect both our clients and our reputation.
Responsibilities
- Monitor and enforce compliance with federal regulations (SEC, FINRA, etc.) and internal policies
- Conduct risk assessments and implement corrective action plans
- Develop and deliver compliance training programs to staff
- Prepare detailed regulatory reports for executive leadership
- Investigate potential violations and recommend disciplinary actions
- Stay current with evolving financial regulations through continuous research
- Coordinate with external auditors during compliance reviews
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of SEC regulations and FINRA rules
- Excellent analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Ability to work independently with flexible scheduling
- Proficiency in compliance software (e.g., Diligent, OnBase)
- Relevant certifications (e.g., CRCM, CAMS) preferred