Job Description
Join Lexington Financial Group as a Compliance Officer and enjoy the freedom of flexible hours while ensuring regulatory excellence. We're seeking a detail-oriented professional to safeguard our operations in the heart of Kentucky's financial hub. This hybrid role offers autonomy with core business hours, perfect for work-life balance. You'll be the guardian of our compliance framework, working with a collaborative team that values integrity and innovation.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA) and KY state laws
- Conduct regular risk assessments and internal audits across financial products and services
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory updates and best practices using interactive workshops
- Investigate potential violations and recommend corrective actions
- Stay current on evolving financial regulations through continuous learning
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Kentucky banking regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Exceptional analytical skills with attention to detail
- Proven ability to communicate complex concepts to diverse audiences
- Experience with compliance software (e.g., Adenza, MetricStream)