Job Description
Join Capital Compliance Solutions as a Part-Time Compliance Officer and play a pivotal role in safeguarding our clients' regulatory integrity. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations while maintaining operational excellence. This hybrid position offers flexible hours and the opportunity to work with dynamic financial institutions in the Richmond area. If you're passionate about risk mitigation and ethical business practices, we want to hear from you!
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures accordingly
- Conduct internal audits and risk assessments for financial service clients
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on compliance protocols and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Maintain accurate documentation of compliance activities
- Collaborate with legal counsel on regulatory interpretations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Virginia state regulations
- Excellent analytical and problem-solving skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency with compliance software (e.g., ComplianceEase, Adenza)
- Exceptional written and verbal communication abilities
- Ability to work independently with minimal supervision