Job Description
Join our dynamic team in New Orleans as a Compliance Officer and drive regulatory excellence! We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while fostering a culture of compliance. This is an immediate-start opportunity offering career growth in the heart of Louisiana's financial hub.
Why Join Us?
• Competitive salary + performance bonus
• Comprehensive benefits package
• Professional development opportunities
• Collaborative, innovative work environment
Responsibilities
- Monitor regulatory changes (FINRA, SEC, AML, etc.) and update compliance policies
- Conduct internal audits and risk assessments across business units
- Develop and deliver compliance training programs to staff
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory reports and maintain accurate compliance documentation
- Collaborate with legal and executive teams on compliance strategy
- Stay current on industry trends and best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience in finance
- Knowledge of FINRA/SEC regulations and AML protocols
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency in compliance software and MS Office Suite