Job Description
Join our dynamic team as a Compliance Officer at Innovate Financial Solutions, where integrity meets innovation. We're seeking a proactive professional to safeguard our operations and uphold regulatory excellence in the heart of Raleigh's thriving financial district. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a forward-thinking environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide guidance to departments on regulatory changes and best practices
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on compliance strategy
- Prepare detailed compliance reports for stakeholders and regulators
- Train staff on compliance policies and ethical standards
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and NC state regulations
- Excellent analytical and problem-solving skills
- Certifications (CRCM, CAMS, or CCEP) preferred
- Experience with compliance management software (e.g., RSA Archer)
- Exceptional written and verbal communication abilities
- Proven ability to thrive in fast-paced regulatory environments