Job Description
Join our dynamic team as a Remote-Friendly Compliance Officer in Charlotte, NC! We're seeking a detail-oriented professional to ensure regulatory adherence while working from anywhere in the US. This hybrid role combines office collaboration with flexible remote work, offering perfect work-life balance in the heart of Charlotte's thriving financial district.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, etc.)
- Conduct risk assessments and internal audits across financial operations
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Strong knowledge of FINRA, SEC, and AML regulations
- Excellent analytical skills with attention to detail
- Ability to work independently while collaborating with remote teams
- Relevant certifications (CRCM, CAMS, CCEP) a plus