Job Description
Join our dynamic team as a Compliance Officer in St. Louis, MO! We offer weekly pay to ensure consistent financial stability while you protect our organization's integrity. This role is critical in navigating complex regulatory landscapes and maintaining ethical standards across all operations. Enjoy a collaborative environment with opportunities for professional growth and competitive benefits.
Responsibilities
- Monitor and ensure adherence to federal regulations (FINRA, SEC, CFPB) and internal policies
- Conduct regular risk assessments and compliance audits across departments
- Develop/implement compliance programs and training initiatives for staff
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay updated on industry changes and advise on policy adjustments
- Collaborate with legal and internal audit teams on compliance matters
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA regulations and SEC guidelines
- Excellent analytical skills with attention to detail
- CRCM, CAMS, or CCEP certification preferred
- Proficient in compliance software (e.g., Certegy, Wolters Kluwer)
- Exceptional written and verbal communication abilities
- Ability to manage multiple priorities in a fast-paced environment