Job Description
Join our dynamic team as a Compliance Officer in Jacksonville, FL, where you'll safeguard regulatory integrity and drive ethical business practices. This pivotal role ensures adherence to federal regulations (including FINRA, SEC, and AML laws) while fostering a culture of compliance across all departments. You'll collaborate with legal, risk, and audit teams to develop robust frameworks that protect both our organization and our clients. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor regulatory changes and implement updated compliance policies/procedures
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective actions
- Manage reporting processes for regulatory bodies (e.g., SARs, FINRA reports)
- Develop and maintain compliance documentation (policies, manuals, training materials)
- Coordinate with external auditors and regulatory examinations
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 AML regulations
- Certification preferred (CRCM, CAMS, or CCEP)
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficiency with compliance software and MS Office Suite
- Ability to thrive in a fast-paced, regulated environment