Job Description
Join ComplianceFirst Solutions as a Remote-Friendly Compliance Officer and drive regulatory excellence in a dynamic financial services environment. We offer flexible remote work options while maintaining a collaborative Richmond-based team culture. You'll ensure adherence to federal regulations, mitigate risks, and implement compliance frameworks that protect our clients and stakeholders. Enjoy competitive compensation, professional development opportunities, and the chance to shape our compliance strategy in a growing fintech company.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance to stakeholders on AML, KYC, and anti-fraud protocols
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Lead cross-functional initiatives to embed compliance into business processes
- Stay updated on regulatory changes and advise on policy adjustments
- Train staff on compliance requirements and best practices
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- FINRA Series 63/65/66 licenses or equivalent regulatory certifications
- Expert knowledge of federal/state regulations (Dodd-Frank, AML, BSA)
- Proficient in compliance management software (e.g., RSA Archer, LogicGate)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills for stakeholder engagement
- Proven ability to manage remote teams and distributed workflows