Job Description
Join our dynamic team as a Remote-Friendly Compliance Officer in Lexington, KY! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks while enjoying the flexibility of remote work. You'll be instrumental in maintaining our ethical standards and protecting our clients' interests.
Our ideal candidate thrives in a collaborative environment, values continuous learning, and is passionate about compliance excellence. With competitive compensation, comprehensive benefits, and a supportive culture, this role offers both professional growth and work-life balance.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, state laws) to update compliance policies
- Conduct internal audits and risk assessments across financial operations
- Develop and implement compliance training programs for staff
- Investigate potential violations and prepare corrective action plans
- Prepare regulatory reports and disclosures for management and authorities
- Collaborate with legal and audit teams to ensure cohesive risk management
- Advise leadership on emerging compliance risks and best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation required
- Strong knowledge of KYC/AML protocols and FINRA regulations
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., OnBase, Compliance 360)
- Ability to work independently with minimal supervision