Job Description
Join our dynamic team as a Compliance Officer at Capital Financial Group, where integrity drives success. We're seeking a detail-oriented professional to safeguard our operations against regulatory risks while fostering a culture of compliance excellence. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in Richmond's thriving financial district.
Responsibilities
- Monitor and implement federal, state, and industry-specific regulations (FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop, update, and maintain compliance policies and procedures
- Train staff on regulatory requirements and ethical practices
- Investigate and resolve compliance violations with corrective actions
- Liaise with regulatory bodies during examinations and inquiries
- Prepare detailed compliance reports for senior leadership and board committees
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Strong knowledge of banking regulations (Regulations O, Z, CCAR)
- Professional certification (CRCM, CCEP, CAMS) preferred
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software (e.g., Fenergo, ComplyAdvantage)
- Excellent written/verbal communication skills