Job Description
Join our dynamic team at Financial Integrity Partners as a Compliance Officer in Richmond, VA. You'll safeguard our organization by ensuring adherence to federal regulations, industry standards, and internal policies. This pivotal role demands meticulous attention to detail and proactive risk management in a fast-paced financial services environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with SEC, FINRA, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate regulatory inquiries and prepare comprehensive documentation for audits
- Train staff on compliance protocols and emerging regulatory changes
- Collaborate with legal and senior leadership on compliance strategy
- Monitor industry trends and regulatory updates to ensure proactive compliance
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or FINRA Series 24/26 preferred
- Strong knowledge of federal banking regulations (BHC Act, Regulation O, etc.)
- Exceptional analytical and documentation skills
- Ability to interpret complex regulatory requirements
- Proficiency with compliance management software