Job Description
Join our dynamic team as a Compliance Officer in Greensboro, NC! We're offering a competitive salary plus a $10,000 sign-on bonus for qualified candidates who can ensure regulatory adherence and drive ethical business practices. This role is critical in safeguarding our organization's integrity while fostering a culture of compliance excellence. Enjoy comprehensive benefits, professional development opportunities, and the chance to make a tangible impact in a growing financial services company.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct regular internal audits and risk assessments to identify compliance gaps
- Investigate and resolve compliance violations through corrective action plans
- Provide training to staff on regulatory updates and compliance protocols
- Act as primary liaison with regulatory bodies during examinations
- Monitor industry trends to update policies and procedures
- Prepare detailed compliance reports for senior leadership
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications preferred
- Expert knowledge of banking regulations and AML/BSA requirements
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Proficiency in compliance software (e.g., ComplianceEase, NICE Actimize)
- Experience managing compliance audits and examinations