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 within our financial services operations. This flexible 20-hour/week role offers competitive compensation and the opportunity to make a tangible impact on our compliance framework. If you're passionate about regulatory excellence and thrive in collaborative environments, apply today!
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, AML) to ensure organizational compliance
- Conduct internal audits and risk assessments across departmental processes
- Develop and maintain comprehensive compliance documentation and policies
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory requirements and ethical standards
- Collaborate with legal and senior leadership on compliance strategy
- Track regulatory changes and update procedures accordingly
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Excellent analytical skills and attention to detail
- Ability to work independently and manage competing priorities
- Proficiency in compliance software (e.g., PolicyTech, ComplyAssistant)
- Valid FINRA Series 63 or 65 certification preferred