Job Description
Join Orlando Financial Solutions as a Compliance Officer and become a guardian of regulatory excellence! We're seeking a detail-oriented professional to ensure our operations align with federal, state, and industry regulations. Enjoy weekly paychecks while safeguarding our clients' interests and maintaining our stellar reputation in Orlando's thriving financial sector.
Our dynamic team offers collaborative work environments, continuous professional development, and a commitment to work-life balance. As a key member of our compliance division, you'll directly impact our mission to deliver transparent, ethical financial services.
Responsibilities
- Monitor regulatory changes (SEC, FINRA, state laws) and implement compliance protocols
- Conduct internal audits and risk assessments across financial products
- Develop and maintain compliance documentation and training programs
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory agencies as needed
- Prepare compliance reports for executive leadership and board review
- Lead cross-departmental compliance initiatives and awareness campaigns
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- CFP, CCEP, or CRCM certification strongly preferred
- Expertise in FINRA regulations and SEC reporting requirements
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills for regulatory reporting
- Proficiency with compliance software (e.g., ComplianceEase, Fiserv)
- Ability to thrive in a fast-paced, regulated environment