Job Description
Join our dynamic team as a Remote-Friendly Compliance Officer at Bluegrass Financial Solutions, where innovation meets integrity. Based in Lexington, KY, you'll safeguard our operations while enjoying the flexibility of remote work. This pivotal role ensures adherence to federal regulations (FINRA, SEC) and internal policies across our growing financial services portfolio. We're seeking a proactive professional who thrives in autonomous environments and is passionate about ethical business practices. Enjoy competitive benefits, professional development opportunities, and a culture that champions work-life balance.
Responsibilities
- Monitor and interpret regulatory changes (e.g., AML, KYC, GDPR) to update compliance frameworks
- Conduct risk assessments and internal audits for banking/financial products
- Develop training programs for staff on compliance protocols and ethical standards
- Investigate potential violations and prepare detailed incident reports
- Liaise with legal counsel and regulatory bodies during examinations
- Maintain accurate compliance documentation and reporting systems
- Advise leadership on emerging compliance risks and mitigation strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field; JD/CAMS/CCEP preferred
- 3+ years of compliance experience in financial services or regulated industry
- Deep understanding of FINRA/SEC regulations and KYC/AML protocols
- Exceptional analytical skills with attention to detail
- Strong written communication for policy drafting and reporting
- Proficient in compliance software (e.g., ComplianceEase, MetricStream)
- Ability to work independently with minimal supervision
- Remote work experience with demonstrated time management skills