Job Description
Join our dynamic team as a Remote-Friendly Compliance Officer in Lexington, KY! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. Enjoy flexible remote work with occasional on-site collaboration in our vibrant downtown office. This role offers competitive compensation, comprehensive benefits, and career growth opportunities in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current with industry regulations (SEC, FINRA, AML, etc.)
- Collaborate with legal and finance departments on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of SEC, FINRA, and KYC regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance management software
- Excellent written and verbal communication abilities
- Ability to work independently with minimal supervision