Job Description
Join our dynamic team as a Part-Time Compliance Officer in Richmond, VA! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. This flexible 20-hour/week role offers competitive compensation and the opportunity to make a tangible impact in a growing industry.
Our ideal candidate will thrive in a collaborative environment while maintaining strict compliance standards. You'll work with cross-functional teams to implement policies, conduct audits, and stay ahead of evolving regulations. Enjoy hybrid work options and comprehensive training to support your professional development.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) for compliance protocols
- Conduct internal audits and risk assessments across financial products
- Develop and maintain compliance documentation policies and procedures
- Investigate and resolve compliance violations with corrective action plans
- Train staff on compliance requirements and ethical standards
- Prepare regulatory reports and disclosures for submission
- Collaborate with legal counsel on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years compliance/regulatory experience in financial services
- Knowledge of FINRA/SEC regulations and Virginia state laws
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Certified Compliance & Ethics Professional (CCEP) preferred
- Proficiency in compliance software (e.g., Certent, PolicyTech)
- Ability to work independently with minimal supervision