Job Description
Are you ready to safeguard our organization's integrity and drive regulatory excellence in the dynamic financial hub of North Carolina? We are looking for a results-driven Compliance Officer to join our Raleigh-based team. In this pivotal role, you will oversee our adherence to federal and state regulations, ensuring our business practices are ethical, transparent, and fully compliant with industry standards. You will act as the guardian of our reputation, providing strategic guidance to leadership and fostering a culture of compliance across all departments. If you have a keen eye for detail and a passion for risk management, we want to hear from you.
Why Join Us?
We offer a competitive salary package, comprehensive benefits, and a collaborative work environment where your expertise will directly impact the safety and success of our operations.
Responsibilities
- Conduct comprehensive internal audits and risk assessments to identify potential vulnerabilities in company processes and recommend improvements.
- Develop, implement, and update internal compliance policies and procedures to align with evolving regulatory frameworks such as SOX, HIPAA, and FINRA.
- Monitor changes in local, state, and federal laws to ensure the organization remains fully compliant and mitigates legal risks.
- Provide regular training and education to staff members regarding compliance standards, ethical conduct, and reporting procedures.
- Investigate potential violations and recommend corrective actions, including disciplinary measures when necessary.
- Prepare and submit detailed reports to the Board of Directors and regulatory bodies as required.
- Collaborate with legal and operations teams to resolve compliance issues efficiently.
Qualifications
- Bachelor’s degree in Finance, Business Administration, Law, or a related field (Master’s degree preferred).
- 3-5 years of progressive experience in compliance, risk management, or internal auditing within the financial services or healthcare sector.
- Strong working knowledge of SEC, FINRA, and state banking regulations.
- Certification such as CFE, CAMS, or CRCM is highly desirable.
- Excellent analytical and problem-solving skills with the ability to interpret complex regulations.
- Strong verbal and written communication skills for reporting and training purposes.
- Proficiency in compliance management software and Microsoft Office Suite.