Job Description
About the Role
We are seeking a highly skilled and detail-oriented Compliance Officer to join our dynamic team in Raleigh, North Carolina. In this key role, you will be responsible for ensuring our organization adheres to all applicable laws, regulations, and internal policies. You will serve as a trusted advisor to senior leadership on compliance matters and help foster a culture of ethical behavior and risk management.
Why Join Us?
- Competitive salary and comprehensive benefits package.
- Work in the heart of North Carolina's thriving Research Triangle.
- Opportunity for professional growth and career advancement.
Responsibilities
- Monitor and ensure strict adherence to federal, state, and local regulations, including FINRA, SEC, and state-specific banking laws.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Develop, implement, and update internal compliance policies, procedures, and training programs for employees.
- Investigate potential violations of compliance policies and recommend appropriate corrective actions.
- Prepare and submit accurate regulatory reports to external bodies in a timely manner.
- Stay abreast of changes in the regulatory landscape and advise the organization on necessary adjustments.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field is required; Master’s degree preferred.
- Minimum of 3-5 years of progressive experience in compliance, risk management, or regulatory affairs.
- Strong working knowledge of banking regulations, anti-money laundering (AML) laws, and know-your-customer (KYC) protocols.
- Excellent analytical, problem-solving, and verbal and written communication skills.
- Professional certification (e.g., CFE, CCE, CAMS, or CPA) is a plus.
- Ability to work independently and manage multiple priorities in a fast-paced environment.