Job Description
Join our dynamic compliance team in Atlanta and safeguard our organization's integrity. As a Compliance Officer, you'll ensure adherence to federal regulations (FINRA, SEC, OCC), develop robust compliance frameworks, and drive ethical business practices across all departments. This pivotal role offers strategic influence in a rapidly evolving financial landscape.
Responsibilities
- Monitor regulatory changes and implement compliance policies for financial operations
- Conduct internal audits and risk assessments across business units
- Train staff on compliance protocols and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory bodies during examinations
- Prepare compliance reports for executive leadership and board committees
- Develop AML/BFSI monitoring programs and transaction screening protocols
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation
- Deep knowledge of SEC regulations, FINRA rules, and Georgia state laws
- Expertise in AML/KYC protocols and transaction monitoring systems
- Strong analytical skills with data interpretation abilities
- Exceptional communication and stakeholder management expertise