Job Description
Join our dynamic team as a Compliance Officer in Greensboro, NC! We provide all necessary equipment including laptop, specialized compliance software, and ergonomic workstation to ensure your success. This role is pivotal in maintaining regulatory adherence across financial operations, with competitive compensation and comprehensive benefits package.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments across departments
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Investigate violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal counsel on regulatory matters
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and NC banking regulations
- Experience with compliance software (e.g., Smartsheet, GRC tools)
- Excellent written/verbal communication skills
- Certification (CRCM, CCEP) preferred
- Ability to work independently with minimal supervision