Job Description
Join our dynamic compliance team at Bluegrass Financial Services and become a guardian of regulatory excellence in Lexington's thriving financial sector. We're seeking a meticulous Compliance Officer to implement robust controls, mitigate risks, and ensure adherence to federal and state regulations. Enjoy competitive compensation, comprehensive benefits, and a culture that values professional growth. Start your impactful career tomorrow – apply today!
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and KY regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed reports for regulatory submissions and executive leadership
- Train staff on updated compliance policies and procedures
- Collaborate with legal and audit teams to address regulatory changes
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Expert knowledge of KY and federal financial regulations
- Advanced analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Proficiency with compliance software (e.g., ComplianceEase, Wolters Kluwer)
- Ability to thrive in fast-paced, deadline-driven environments