Job Description
Join our award-winning financial services firm as a Compliance Officer with comprehensive paid training! We're seeking motivated individuals to launch their career in regulatory compliance while receiving industry-leading mentorship and hands-on experience. Our 12-week paid training program covers FINRA regulations, SEC guidelines, and internal controls – no prior experience required. Enjoy competitive benefits, career advancement opportunities, and a supportive team environment in Richmond's thriving financial district.
Responsibilities
- Monitor regulatory changes and implement compliance protocols across financial products
- Conduct internal audits and risk assessments for investment advisors
- Prepare regulatory reports and disclosures for SEC/FINRA submissions
- Train staff on updated compliance procedures and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Maintain electronic record-keeping systems for compliance documentation
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Strong analytical skills and attention to detail
- Excellent written and verbal communication abilities
- Proficiency in Microsoft Office Suite and compliance software
- Ability to learn complex regulatory concepts quickly
- Basic understanding of financial markets and instruments
- Strong ethical judgment and integrity
- Must pass background check and FINRA registration post-training