Job Description
Join our award-winning financial services firm in Durham, NC as a Compliance Officer and receive a $5,000 sign-on bonus! We're seeking a detail-oriented professional to safeguard our regulatory integrity while advancing your career in a dynamic environment.
As a key member of our compliance team, you'll shape our regulatory framework, conduct risk assessments, and ensure adherence to FINRA, SEC, and state regulations. Enjoy hybrid work flexibility, comprehensive benefits, and opportunities for professional growth within a nationally recognized organization.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate and resolve regulatory violations with corrective action plans
- Provide compliance training to staff across all departments
- Stay current on regulatory changes (FINRA, SEC, AML, etc.)
- Prepare and submit regulatory reports to governing bodies
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance/regulatory experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Deep knowledge of FINRA/SEC regulations and NC state laws
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Proficiency with compliance software (e.g., ComplianceEase, Fusion)