Job Description
Join our dynamic compliance team in Louisville, KY and make a tangible impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence while driving our financial services forward. With a competitive salary, comprehensive benefits, and a $10,000 sign-on bonus, this is your opportunity to advance your career in a thriving market. Enjoy work-life balance with hybrid options and collaborate with industry experts in our modern downtown office.
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (FINRA, SEC, OCC)
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory changes and compliance protocols
- Investigate potential violations and recommend corrective actions
- Liaise with regulatory bodies during examinations and inquiries
- Maintain meticulous documentation of compliance activities
- Monitor emerging regulations and update policies accordingly
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of KYC/AML regulations and FINRA rules
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software (e.g., Nasdaq Comply)
- Excellent written and verbal communication skills