Job Description
Join Louisville Financial Group as a Compliance Officer and become a guardian of regulatory excellence in Kentucky's financial hub. We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations while driving ethical business practices. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in a dynamic environment.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, KYC/AML) affecting financial operations
- Develop and implement compliance policies, procedures, and training programs
- Conduct internal audits and risk assessments across business units
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance initiatives
- Prepare regulatory reports and maintain documentation
- Stay updated on industry trends and emerging risks
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience in finance
- Certified Regulatory Compliance Manager (CRCM) preferred
- Deep knowledge of federal/state financial regulations
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficiency in compliance software (e.g., MetricStream, Fenergo)
- Ability to thrive in fast-paced, regulated environments