Job Description
Join our dynamic team at Innovate Financial Solutions as a Compliance Officer in Raleigh, NC. We're seeking a detail-oriented professional to ensure our organization adheres to federal, state, and industry regulations while fostering a culture of ethical excellence. This is a direct-hire opportunity offering competitive benefits, professional development, and the chance to make a tangible impact in a growing fintech company.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with regulatory requirements
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and advise stakeholders on implications
- Prepare comprehensive compliance reports for executive leadership
- Train staff on policies, procedures, and regulatory updates
- Investigate and resolve compliance breaches with corrective actions
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- Deep knowledge of FINRA, SEC, and NC state regulations
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Certifications (CRCM, CAMS, or CCEP) highly valued
- Proficiency in compliance management software (e.g., MetricStream, RSA Archer)