Job Description
Join our dynamic team as a Compliance Officer where your expertise safeguards regulatory excellence and drives ethical practices. This role offers weekly pay, career advancement opportunities, and a collaborative environment focused on innovation. You'll be pivotal in maintaining our organization's reputation as a trusted financial services provider in the heart of Orlando.
Responsibilities
- Develop and implement compliance policies aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update procedures accordingly
- Train staff on compliance protocols and ethical conduct standards
- Investigate potential violations and prepare corrective action plans
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal and audit teams to ensure cohesive compliance frameworks
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance/regulatory experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Proficiency with compliance software (e.g., RegTech platforms)
- Exceptional analytical and problem-solving abilities
- Strong written communication skills for reporting and training
- Ability to thrive in a fast-paced, deadline-driven environment