Job Description
Join our dynamic finance team in Durham, NC as a Compliance Officer! We're offering a competitive salary plus an $8,000 sign-on bonus for qualified candidates who can ensure regulatory adherence and drive ethical practices. This pivotal role requires meticulous attention to detail and proactive risk mitigation in a fast-paced financial environment.
As part of our commitment to excellence, you'll collaborate with cross-functional teams to develop compliance frameworks, conduct internal audits, and stay ahead of evolving regulations. We provide comprehensive training and career advancement opportunities in a supportive, modern workplace.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (SEC, FINRA, etc.)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical conduct
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal team on regulatory filings and inquiries
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Strong knowledge of SEC/FINRA regulations and industry standards
- Excellent analytical and problem-solving skills
- Professional certification (CRCM, CAMS, or CCEP) preferred
- Exceptional written/verbal communication abilities
- Experience with compliance software (e.g., OnBase, ComplianceEase)
- Ability to manage multiple priorities in a regulated environment