Job Description
Join Louisville Financial Group as a Compliance Officer and become a guardian of regulatory integrity! We're offering a competitive salary plus a **sign-on bonus** for qualified candidates who can ensure our financial operations meet strict industry standards. This pivotal role involves developing compliance frameworks, conducting risk assessments, and collaborating with cross-functional teams to maintain ethical operations. If you're passionate about safeguarding organizations while advancing your career in Kentucky's financial hub, this is your opportunity to make an impact.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, AML/KYC)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed reports for regulatory bodies and senior leadership
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations and industry best practices
- Collaborate with legal, audit, and business units to ensure alignment
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of SEC, FINRA, and KYC/AML regulations
- Professional certification (CRCM, CAMS, or CCEP) required
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software (e.g., Fenergo, ComplyAdvantage)
- Excellent communication skills for training and reporting
- Experience with internal controls and risk management frameworks