Job Description
Join our dynamic team as a Remote Compliance Officer in Lexington, KY! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks across our financial operations. This fully remote role offers competitive compensation, flexible hours, and comprehensive benefits. You'll collaborate with cross-functional teams while safeguarding our organization's integrity in a rapidly evolving regulatory landscape.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (e.g., FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Stay current on industry regulations through continuous research
- Collaborate with legal counsel on compliance-related matters
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML protocols
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance software and MS Office Suite
- Ability to work independently with minimal supervision
- Excellent written and verbal communication skills