Job Description
Join our dynamic team at Innovate Financial Group as a Compliance Officer in Charlotte, NC. You'll be instrumental in ensuring regulatory adherence while driving our mission to deliver exceptional financial services. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a fast-paced environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (Dodd-Frank, SEC, FINRA)
- Conduct regular audits and risk assessments to identify compliance gaps
- Prepare regulatory reports and disclosures for stakeholders
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective actions
- Collaborate with legal and risk management teams on compliance initiatives
- Monitor regulatory changes and advise on policy adjustments
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years compliance experience in financial services
- Strong knowledge of SEC, FINRA, and NC state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Advanced analytical and problem-solving skills
- Proficient in compliance software (e.g., Diligence, ComplyAdvantage)
- Excellent communication and stakeholder management abilities