Job Description
Join our dynamic team as a Remote Compliance Officer and safeguard our operations in New Orleans while enjoying flexible work arrangements. We're seeking a detail-oriented professional to ensure adherence to regulatory frameworks and drive ethical business practices. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive environment.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Deliver compliance training to staff across all departments
- Monitor regulatory changes and update procedures accordingly
- Prepare detailed reports for executive leadership and regulatory bodies
- Liaise with external auditors and regulatory agencies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Expert knowledge of federal/state financial regulations
- Advanced analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Proficiency in compliance software (e.g., Diligent, MetricStream)
- Ability to work independently with minimal supervision