Job Description
Join our dynamic team as a Remote Compliance Officer and play a pivotal role in safeguarding our organization's integrity. This fully remote position offers the flexibility to work from anywhere while making a tangible impact in Lexington's thriving financial sector. You'll be instrumental in developing robust compliance frameworks, conducting risk assessments, and ensuring adherence to federal and state regulations. Enjoy competitive compensation, comprehensive benefits, and a supportive remote-first culture that values professional growth.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and documentation for stakeholders
- Collaborate with legal and business teams to interpret regulatory changes
- Provide compliance training to employees across all departments
- Investigate and resolve compliance violations through corrective action plans
- Stay updated on evolving financial regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 or equivalent regulatory certifications
- Proficiency with compliance software (e.g., Diligent, Compliance.ai)
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proven ability to work independently in remote environments
- Knowledge of KYC/AML procedures and risk management frameworks