Job Description
Join our dynamic compliance team as a Compliance Officer with flexible scheduling options! We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. Enjoy the perfect work-life balance with adaptable hours while making a significant impact in our financial services organization.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws)
- Develop and implement compliance policies/procedures
- Conduct internal audits and risk assessments
- Provide compliance training to staff across departments
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and business units on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/risk management experience
- Strong knowledge of financial regulations
- Excellent analytical and problem-solving skills
- Ability to work independently with minimal supervision
- Professional certification (CCEP, CRCM) preferred
- Proficient in compliance management software