Job Description
Join our dynamic team in Greensboro, NC as a Part-Time Compliance Officer and become a guardian of regulatory excellence. We're seeking a detail-oriented professional to ensure our organization maintains full adherence to industry regulations while fostering a culture of integrity. This flexible opportunity (20-25 hours/week) offers competitive compensation and the chance to impact a growing financial services firm. Ideal for experienced professionals seeking work-life balance without compromising career growth.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance frameworks
- Conduct internal audits and risk assessments for operational departments
- Develop and implement compliance policies/procedures with clear documentation
- Train staff on regulatory requirements and ethical conduct standards
- Investigate potential violations and prepare remediation plans
- Manage compliance reporting for executive leadership and regulatory bodies
- Collaborate with legal and audit teams to align compliance strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years compliance/regulatory experience in financial services
- FINRA Series 63/65/66 or equivalent compliance certification preferred
- Advanced knowledge of federal/state banking regulations
- Exceptional analytical and problem-solving abilities
- Proficiency with compliance management software (e.g., Compliance.ai)
- Strong written/verbal communication skills for complex topics
- Ability to work independently with minimal supervision