Job Description
Join Capital Financial Group's dynamic compliance team in Richmond, VA! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive corporate culture.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular audits and risk assessments to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on regulatory requirements and compliance protocols
- Investigate and resolve compliance violations with corrective action plans
- Stay updated on regulatory changes and advise on policy adjustments
- Collaborate with legal, audit, and business units to ensure cohesive compliance
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance experience in financial services or regulated industry
- FINRA Series 7, 24, or 27 certifications preferred
- Deep knowledge of FINRA, SEC, and Virginia state regulations
- Strong analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Proficient with compliance software and MS Office Suite