Job Description
Join our dynamic compliance team in Baton Rouge and become a guardian of regulatory excellence. We seek a meticulous Compliance Officer to ensure adherence to federal, state, and industry regulations while fostering a culture of ethical business practices. This role offers the opportunity to work with senior leadership on high-impact compliance initiatives within Louisiana's thriving financial sector.
Our ideal candidate thrives in detail-oriented environments and possesses a deep understanding of regulatory frameworks. You'll be instrumental in developing compliance programs, conducting risk assessments, and implementing corrective actions. Enjoy competitive benefits, professional development opportunities, and a collaborative workplace culture.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with FINRA, SEC, and Louisiana state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Deliver ongoing compliance training to staff across multiple departments
- Investigate potential violations and recommend corrective actions
- Stay current on regulatory changes and update policies accordingly
- Collaborate with legal and internal 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 regulated industry
- Strong knowledge of FINRA, SEC, and Louisiana state regulations
- Relevant certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software and data analysis tools
- Excellent written and verbal communication skills
- Ability to manage multiple projects with competing deadlines