Job Description
Join our dynamic compliance team at Innovate Financial Solutions as we redefine regulatory excellence in the fintech sector. Based in Raleigh's thriving innovation hub, you'll safeguard our operations while driving ethical growth. Enjoy competitive benefits, professional development opportunities, and a collaborative culture committed to integrity.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, AML) and implement compliance protocols
- Conduct risk assessments and internal audits across financial products
- Develop training materials for staff on compliance procedures
- Investigate and resolve compliance violations with corrective action plans
- Liaise with legal teams to ensure policy alignment
- Prepare regulatory reports and maintain documentation systems
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance experience in financial services
- CFMP or CAMS certification preferred
- Advanced knowledge of federal/state regulations
- Strong analytical and reporting skills
- Experience with compliance management software