Job Description
Join Louisville Financial Group as a Compliance Officer and become a guardian of regulatory excellence! We're offering a competitive sign-on bonus for qualified candidates ready to elevate our compliance framework. In this pivotal role, you'll safeguard our operations against financial crime while shaping industry best practices. Enjoy a dynamic environment where your expertise directly impacts client trust and regulatory success. Apply today to secure your future with one of Louisville's most respected financial institutions!
Responsibilities
- Develop and implement compliance policies aligned with federal regulations (SEC, FINRA, CFPB)
- Conduct risk assessments and internal audits for AML/KYC protocols
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory updates and compliance procedures
- Collaborate with legal teams to ensure adherence to evolving laws
- Prepare regulatory reports for state and federal authorities
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- 3+ years of compliance/regulatory experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Expertise in BSA/AML, KYC, and OFAC regulations
- Strong analytical and investigative skills
- Proficiency with compliance management software (e.g., ComplyAdvantage)