Job Description
Join our dynamic compliance team at St. Louis Financial Group and enjoy the security of weekly pay while making a meaningful impact. We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across all operations. This full-time position offers competitive compensation, comprehensive benefits, and the opportunity to grow your career in a supportive environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies aligned with federal/state laws
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance protocols and ethical standards
- Manage investigations of compliance violations and recommend corrective actions
- Collaborate with legal and operations teams to ensure regulatory alignment
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Missouri state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency with compliance software and data analysis tools
- Ability to manage multiple projects under tight deadlines