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 and drive ethical business practices. Enjoy flexible work arrangements while making a tangible impact in a growing financial services firm. What you'll love: Competitive compensation, comprehensive benefits, and career growth in a supportive environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, FCA) to update compliance frameworks
- Conduct internal audits and risk assessments across business units
- Develop and implement compliance training programs for 500+ employees
- Investigate potential violations and prepare regulatory reporting documentation
- Collaborate with legal and senior leadership on compliance strategy
- Maintain electronic records systems with 99.9% accuracy
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation
- Expert knowledge of FINRA rules and SEC regulations
- Advanced proficiency in compliance software (e.g., Diligent, MetricStream)
- Exceptional analytical and written communication skills