Job Description
Join our dynamic team as a Part-Time Compliance Officer and play a pivotal role in safeguarding our organization's integrity. This position offers the flexibility of part-time hours while allowing you to make a significant impact in regulatory compliance. You will ensure adherence to federal and state regulations, conduct risk assessments, and implement compliance protocols that protect both our clients and our reputation. Ideal for detail-oriented professionals seeking a meaningful part-time career in finance and regulation.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits to identify and mitigate compliance risks
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on compliance procedures and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Maintain accurate compliance documentation and records
- Collaborate with legal and finance departments on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Knowledge of FINRA, SEC, and Ohio state regulations
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency with compliance management software
- Ability to work independently with minimal supervision
- Professional certification (CRCM, CAMS) preferred