Job Description
Join our dynamic team as a Part-Time Compliance Officer at Coastal Financial Services, where we prioritize integrity and regulatory excellence. This role offers flexible hours while ensuring adherence to federal and state regulations in the financial services sector. You'll play a crucial role in safeguarding our operations and maintaining our reputation as a trusted financial institution.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, Virginia state laws)
- Conduct internal audits and compliance reviews across departments
- Develop and implement compliance policies and procedures
- Train staff on regulatory requirements and ethical standards
- Investigate potential compliance violations and recommend corrective actions
- Maintain accurate compliance documentation and reporting
- Collaborate with legal counsel on complex compliance matters
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience in financial services
- Knowledge of FINRA, SEC, and Virginia financial regulations
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Ability to work independently with minimal supervision
- Proficiency in compliance software and MS Office Suite
- CRCM or CCEP certification preferred