Job Description
Join Capital Financial Services as a Part-Time Compliance Officer and play a vital role in safeguarding our regulatory integrity. We seek a detail-oriented professional to ensure adherence to federal and state regulations while supporting our dynamic financial services team. Enjoy flexible hours in a collaborative environment dedicated to ethical excellence and growth.
Responsibilities
- Monitor and enforce compliance with FINRA, SEC, and Virginia state regulations
- Conduct internal audits and risk assessments for financial products
- Develop and implement compliance policies and procedures
- Train staff on regulatory requirements and ethical standards
- Prepare detailed compliance reports for senior leadership
- Investigate potential violations and recommend corrective actions
- Liaise with regulatory bodies during examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Deep knowledge of FINRA/SEC regulations
- Exceptional attention to detail and analytical skills
- Strong written and verbal communication abilities
- Proficiency in compliance software (e.g., Compliance.ai)