Job Description
Join our dynamic compliance team in Greensboro, NC as a Compliance Officer! We're seeking a detail-oriented professional to ensure regulatory adherence across financial operations. Enjoy a competitive salary plus a $7,500 sign-on bonus for qualified candidates. This role offers growth opportunities in a thriving financial hub with comprehensive benefits and collaborative work environment.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC)
- Conduct internal audits and compliance reviews
- Develop and implement compliance policies/procedures
- Train staff on regulatory requirements
- Investigate potential compliance violations
- Prepare regulatory reports and disclosures
- Liaise with external auditors and regulators
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- FINRA Series 63/65/66 licenses preferred
- Strong knowledge of financial regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Actimize, ComplyAdvantage)
- Ability to manage competing priorities