Job Description
Join our dynamic team at Financial Integrity Partners as a Compliance Officer in Charlotte, NC. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. This role offers the opportunity to shape our compliance framework while working with industry leaders in a collaborative environment.
As a key member of our Risk Management division, you'll implement policies aligned with federal regulations (FINRA, SEC) and internal standards. Enjoy competitive compensation, comprehensive benefits, and career growth opportunities in one of America's fastest-growing financial hubs.
Responsibilities
- Develop, implement, and monitor compliance programs to ensure adherence to federal/state regulations
- Conduct regular risk assessments and internal audits across business units
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory changes and compliance protocols
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams to address compliance gaps
- Stay updated on evolving financial regulations (e.g., Dodd-Frank, AML)
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Relevant certifications (e.g., CRCM, CAMS, CCEP)
- Deep knowledge of FINRA, SEC, and banking regulations
- Strong analytical and risk assessment skills
- Excellent written/verbal communication abilities
- Proficiency in compliance management software (e.g., Diligent, MetricStream)
- Experience with SOX 404 and internal controls