Job Description
Join our dynamic team as a Compliance Officer in Raleigh, NC and become a guardian of regulatory excellence. This direct-hire opportunity offers the chance to shape compliance frameworks within a forward-thinking financial services organization. You'll collaborate with cross-functional teams to ensure adherence to federal regulations, mitigate risks, and maintain our reputation for integrity. Enjoy competitive compensation, comprehensive benefits, and a collaborative work environment in the heart of North Carolina's innovation hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide expert guidance to business units on regulatory requirements
- Investigate and resolve compliance violations with corrective action plans
- Prepare regulatory filings and management reports for executive leadership
- Stay current on evolving regulatory landscape through continuous education
- Train staff on compliance policies and ethical standards
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 7 and Series 24/27 certifications required
- Strong knowledge of Dodd-Frank Act, AML, and KYC regulations
- Exceptional analytical and problem-solving abilities
- Experience with compliance management software (e.g., MetricStream)
- Proven track record of developing successful compliance frameworks
- Excellent written and verbal communication skills