Job Description
Join our dynamic team as a Compliance Officer in New Orleans, where we blend Southern hospitality with cutting-edge financial technology. This remote-friendly role offers the flexibility to work from anywhere while making a tangible impact on regulatory excellence. You'll be the guardian of our operational integrity, ensuring adherence to federal regulations (Dodd-Frank, AML) and industry best practices. We're seeking a detail-oriented professional who thrives in fast-paced environments and values work-life balance. Enjoy competitive benefits, professional development opportunities, and the chance to shape our compliance framework in a supportive, innovative culture.
Responsibilities
- Develop and implement compliance policies aligned with federal/state regulations (FINRA, SEC)
- Conduct risk assessments and internal audits for financial products/services
- Investigate and resolve compliance violations with documented corrective actions
- Train staff on regulatory updates and compliance protocols
- Monitor regulatory changes and update compliance frameworks quarterly
- Collaborate with legal/audit teams on compliance initiatives
- Prepare regulatory reports for federal/state authorities
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 3+ years compliance experience in financial services
- Strong knowledge of AML, BSA, and Dodd-Frank regulations
- Certified Compliance & Ethics Professional (CCEP) designation
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., RSA Archer, OnBase)
- Ability to work independently with minimal supervision