Job Description
Join our dynamic team in Charlotte, NC as a Compliance Officer where you'll safeguard regulatory integrity while driving innovation in financial services. This pivotal role combines deep compliance expertise with strategic business partnership to ensure adherence to federal regulations (Dodd-Frank, SEC, FINRA) and internal policies. You'll work in a collaborative environment with competitive benefits, professional development opportunities, and the chance to shape compliance frameworks at a rapidly growing firm.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and state regulations
- Conduct risk assessments and internal audits for banking, securities, and fintech operations
- Advise stakeholders on regulatory changes including AML, BSA, and consumer protection laws
- Prepare regulatory reports and disclosures for SEC, CFPB, and FINRA submissions
- Lead investigations of compliance violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and business units on new product launches
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Deep knowledge of federal banking regulations and SEC/FINRA rules
- Experience with compliance monitoring software (e.g., NICE Actimize, ComplyAdvantage)
- Strong analytical skills and attention to detail
- Excellent communication and stakeholder management abilities