Job Description
Join our dynamic compliance team as a Compliance Officer with flexible hours in Columbus, OH. This role is perfect for professionals seeking work-life balance while making a significant impact in regulatory oversight. You'll ensure adherence to federal regulations, internal policies, and industry standards across our financial services operations. Enjoy a hybrid work model with adaptable scheduling to fit your lifestyle.
We offer competitive compensation, comprehensive benefits, and ongoing professional development. If you're detail-oriented with a passion for compliance excellence and value flexibility, apply today to become part of our innovative team.
Responsibilities
- Monitor and enforce compliance with FINRA, SEC, and federal regulations
- Conduct internal audits and risk assessments for financial products
- Develop and implement compliance policies and procedures
- Investigate regulatory inquiries and prepare response documents
- Train staff on compliance requirements and ethical standards
- Collaborate with legal and senior leadership on regulatory changes
- Maintain accurate compliance records and documentation
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance or regulatory experience
- FINRA Series 24, 26, or 27 certification preferred
- Strong knowledge of financial industry regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., ComplianceEase, OnBase)
- Excellent written communication and report-writing abilities