Job Description
Join Coastal Risk Management Group as a Part-Time Compliance Officer in Virginia Beach and become a guardian of regulatory excellence. We're seeking a detail-oriented professional to ensure our financial operations adhere to federal and state regulations while maintaining our industry-leading reputation for integrity. This flexible role (20-25 hours/week) offers the perfect blend of autonomy and collaboration in a supportive, growth-oriented environment. Enjoy competitive compensation, comprehensive training, and the opportunity to make a tangible impact on our compliance framework.
Responsibilities
- Monitor regulatory updates from FINRA, SEC, and Virginia State Banking Authority to implement policy changes
- Conduct internal audits and risk assessments for investment advisory activities
- Prepare and maintain compliance documentation, including transaction reviews and client records
- Train staff on AML procedures, anti-fraud protocols, and privacy regulations (GLBA)
- Respond to regulatory inquiries and examinations from state/federal authorities
- Develop compliance reports for executive leadership and board committees
- Liaise with legal counsel on regulatory interpretation and enforcement matters
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years compliance experience in financial services or regulated industry
- Certified Regulatory Compliance Manager (CRCM) or Series 65/66 preferred
- Expertise in FINRA rules, SEC regulations, and Virginia state statutes
- Advanced proficiency in compliance software (e.g., ComplySci, AdvisorEngine)
- Exceptional analytical skills with meticulous attention to detail
- Strong written/verbal communication and presentation abilities
- Ability to work independently while collaborating with cross-functional teams