Job Description
Join our dynamic compliance team in New Orleans as a Compliance Officer with flexible scheduling options. We offer a hybrid work environment that empowers you to maintain work-life balance while ensuring regulatory excellence. You'll play a critical role in safeguarding our organization through proactive risk assessments, policy development, and regulatory monitoring. Our collaborative culture values innovation and professional growth, providing continuous learning opportunities in an ever-evolving regulatory landscape.
Responsibilities
- Develop, implement, and monitor compliance programs across financial operations
- Conduct internal audits and risk assessments to identify regulatory vulnerabilities
- Stay current with federal, state, and local regulations (e.g., AML, BSA, SEC)
- Train staff on compliance policies and procedures
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and executive teams on regulatory changes
- Prepare detailed compliance reports for stakeholders
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA, SEC, and Louisiana state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Excellent written and verbal communication abilities
- Ability to work independently with flexible schedule