Job Description
Join our dynamic team as a Compliance Officer at Financial Trust Services Inc., where integrity meets innovation. As a key guardian of regulatory excellence, you'll ensure adherence to federal and state regulations while shaping our compliance framework in the heart of Richmond's thriving financial district. We offer a collaborative environment, competitive benefits, and opportunities for professional growth in a company committed to ethical leadership and operational excellence.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Provide comprehensive compliance training to staff across all departments
- Investigate regulatory inquiries and prepare detailed response documentation
- Stay current on evolving financial regulations and update policies accordingly
- Collaborate with legal and executive teams on compliance strategy
- Maintain accurate records of compliance activities and reporting
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Strong knowledge of federal/state banking regulations
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency with compliance management software (e.g., Fenergo, ComplyAdvantage)
- Ability to thrive in a fast-paced, regulated environment