Job Description
Join Kentucky Financial Solutions as a Compliance Officer and kickstart your career in regulatory oversight! We're offering a comprehensive paid training program designed to equip you with the expertise needed to navigate complex financial regulations. This full-time position includes hands-on mentorship, industry certifications, and a clear path to advancement. Our dynamic team values integrity, attention to detail, and proactive risk management. If you're ready to build a rewarding career in compliance while receiving world-class training, apply today!
Responsibilities
- Monitor and ensure adherence to federal, state, and local regulations (e.g., FINRA, SEC, KY Banking Laws)
- Develop and implement compliance policies and procedures for financial products
- Conduct internal audits and risk assessments to identify potential violations
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on regulatory updates and internal compliance protocols
- Investigate and resolve compliance breaches with corrective action plans
- Collaborate with legal and audit teams to maintain regulatory alignment
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Strong analytical skills with attention to detail and accuracy
- Ability to interpret complex regulatory documents (e.g., Dodd-Frank, KY Blue Sky Laws)
- Excellent written and verbal communication skills
- Proficiency in Microsoft Office Suite and compliance management software
- Willingness to complete paid certification training (FINRA Series 63/65 provided)
- Basic understanding of financial products and services
- Passion for continuous learning and regulatory expertise