Job Description
Join Elite Financial Services as a Compliance Officer and start your career tomorrow! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our dynamic New Orleans office. Enjoy competitive compensation, comprehensive benefits, and a supportive environment where your expertise drives our success.
Responsibilities
- Monitor regulatory changes and implement compliance protocols
- Conduct internal audits and risk assessments
- Develop and maintain compliance policies/procedures
- Train staff on regulatory requirements
- Investigate potential compliance breaches
- Prepare regulatory reports and documentation
- Collaborate with legal and audit teams
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and federal regulations
- Excellent analytical and problem-solving skills
- Certified Compliance & Ethics Professional (CCEP) preferred
- Proficiency in compliance management software
- Exceptional communication and documentation abilities