Job Description
Join our award-winning compliance team in Cincinnati and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across financial operations. This urgent opening offers rapid onboarding and competitive benefits. Drive ethical standards while safeguarding our organization's reputation in a dynamic industry environment.
Responsibilities
- Monitor regulatory changes and implement compliance policies
- Conduct internal audits and risk assessments
- Prepare regulatory reports for SEC/FINRA compliance
- Train staff on updated compliance protocols
- Investigate potential violations and recommend corrective actions
- Collaborate with legal department on compliance frameworks
- Document all compliance activities for audit trails
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- FINRA Series 63/65/66 certifications preferred
- Strong knowledge of financial regulations (Dodd-Frank, AML)
- Exceptional analytical and documentation skills
- Experience with compliance management software
- Ability to work independently under tight deadlines