Job Description
Join our dynamic team as a Compliance Officer at Innovate Financial Group in Raleigh, NC. You'll be the guardian of our ethical standards, ensuring adherence to federal regulations (SOX, AML) and internal policies. This role offers the opportunity to shape our compliance framework while working with cutting-edge financial technology in a collaborative, growth-oriented environment.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs across all business units
- Conduct risk assessments and internal audits to identify potential regulatory violations
- Stay current with evolving financial regulations and industry best practices
- Train staff on compliance procedures and ethical conduct standards
- Investigate and resolve compliance incidents with thorough documentation
- Collaborate with legal and executive teams on regulatory reporting
- Lead remediation efforts for audit findings and regulatory observations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Expertise in SOX, AML, and consumer protection regulations
- Advanced analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proficiency in compliance software and data analysis tools