Job Description
Join our dynamic team at Lexington Financial Group and become a key guardian of regulatory excellence. We're seeking a detail-oriented Compliance Officer to ensure adherence to federal and state regulations while driving ethical business practices. This urgent opportunity allows you to start tomorrow and make an immediate impact in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and a supportive culture that values integrity and professional growth.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, KY state laws) to implement compliance protocols
- Conduct internal audits and risk assessments across all business units
- Develop and maintain compliance training programs for 100+ employees
- Investigate potential violations and prepare detailed incident reports
- Collaborate with legal department on regulatory submissions and policy updates
- Lead compliance initiatives for new product launches and service offerings
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- Strong knowledge of KYC/AML regulations and SEC reporting requirements
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Advanced proficiency in compliance software (e.g., Compliance.ai, LogicGate)
- Exceptional analytical skills with attention to detail
- Ability to communicate complex regulations to non-technical stakeholders