Job Description
Join our dynamic team at Delta Financial Solutions as a Compliance Officer in New Orleans! We offer weekly pay, competitive benefits, and a collaborative environment where your expertise directly shapes our regulatory success. As a key member of our risk management division, you'll ensure adherence to federal and state regulations while driving continuous improvement in compliance frameworks. Enjoy the unique culture of New Orleans while advancing your career in a role that values integrity and innovation.
We're seeking a detail-oriented professional with a passion for regulatory excellence. If you thrive in fast-paced environments and possess strong analytical skills, this opportunity is your gateway to professional growth with immediate financial rewards.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and Louisiana state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Prepare comprehensive compliance reports for executive stakeholders and regulatory bodies
- Train staff on regulatory changes and compliance procedures
- Stay current with evolving financial regulations through continuous research
- Collaborate with legal and audit teams to ensure cohesive compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA rules and SEC regulations
- Certified Regulatory Compliance Manager (CRCM) designation required
- Exceptional analytical and problem-solving abilities
- Proficient in compliance software (e.g., ComplianceEase, Lumina)
- Excellent written and verbal communication skills
- Ability to manage multiple priorities in a deadline-driven environment