Job Description
Join our award-winning compliance team as a Compliance Officer with comprehensive paid training! We're seeking motivated professionals to ensure regulatory adherence and drive ethical practices across our operations. This is your chance to launch a high-growth career in financial compliance with industry-leading mentorship and certification support.
Why Choose Us?
- 3-month paid training program covering FINRA, SEC, and state regulations
- Direct mentorship from senior compliance executives
- Certification reimbursement for CRCM/CAMS designations
- Clear career progression to Senior/Lead roles
- Competitive benefits package including 401k match
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures
- Conduct internal audits and risk assessments across departments
- Prepare regulatory reports and disclosures for FINRA/SEC
- Train employees on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory agencies
- Implement AML/KYC procedures and transaction monitoring
Qualifications
- Bachelor's degree in Finance, Business, or related field
- Basic understanding of financial regulations (FINRA, SEC)
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Ability to handle confidential information with discretion
- Proficiency in Microsoft Office Suite
- Attention to detail and organizational skills
- Willingness to complete paid compliance certification program