Job Description
Join Louisville Financial Group as a Compliance Officer and receive a $5,000 sign-on bonus to kickstart your career! We're seeking a detail-oriented professional to ensure regulatory adherence and drive ethical standards across our dynamic financial institution. Located in downtown Louisville, you'll work with a collaborative team dedicated to excellence in risk management and regulatory compliance. Enjoy competitive benefits, professional development opportunities, and a supportive work environment in Kentucky's thriving financial hub.
Responsibilities
- Monitor and interpret federal, state, and local regulations affecting financial operations
- Develop and implement compliance policies, procedures, and training programs
- Conduct regular audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Liaise with regulators and respond to inquiries/audits
- Stay updated on industry changes and advise on compliance implications
- Maintain accurate compliance documentation and reporting
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Excellent analytical and problem-solving skills
- Ability to interpret complex legal and regulatory requirements
- Proficiency in compliance management software (e.g., ComplySci
- Strong written and verbal communication skills
- CRCM or CCEP certification preferred