Job Description
Join our dynamic compliance team in Durham, NC and elevate your career with a prestigious financial institution. We're seeking a detail-oriented Compliance Officer to safeguard regulatory integrity while driving ethical business practices. This role offers a competitive base salary plus a lucrative sign-on bonus for qualified candidates. Enjoy a collaborative environment where your expertise directly impacts organizational success, with opportunities for professional growth and continuous learning.
Responsibilities
- Monitor and ensure adherence to federal regulations (SOX, AML, Dodd-Frank) and internal policies
- Conduct risk assessments and develop mitigation strategies for compliance gaps
- Lead internal audits and regulatory examinations with actionable reporting
- Design and deliver compliance training programs to all organizational levels
- Collaborate with legal and executive teams on regulatory changes and policy updates
- Investigate potential violations and recommend corrective actions
- Maintain compliance documentation and reporting systems
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of SEC, FINRA, and NC state regulations
- Certified Compliance & Ethics Professional (CCEP) designation required
- Advanced analytical skills with regulatory interpretation expertise
- Exceptional written/verbal communication and presentation abilities
- Proficiency in compliance software (e.g., MetricStream, Compliance.ai)
- Experience managing cross-functional compliance initiatives