Job Description
Join our dynamic compliance team at Delta Financial Group and play a pivotal role in safeguarding our organization's integrity in the vibrant heart of New Orleans. We're seeking a meticulous Compliance Officer to develop, implement, and monitor robust compliance programs that align with federal regulations and industry best practices. This hybrid position offers the opportunity to work in our state-of-the-art downtown office while contributing to the financial sector's ethical framework.
Responsibilities
- Develop and maintain comprehensive compliance policies/procedures in accordance with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve compliance violations with thorough documentation
- Deliver targeted compliance training to staff across all departments
- Stay abreast of regulatory changes and update compliance frameworks accordingly
- Collaborate with legal and executive teams on compliance initiatives
- Prepare detailed compliance reports for regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Expert knowledge of federal/state financial regulations
- Exceptional analytical and investigative skills
- Proven ability to translate complex regulations into actionable policies
- Experience with GRC software and audit methodologies
- Strong written/verbal communication skills for training and reporting