Job Description
Join Charlotte's premier financial services firm as a Senior Compliance Officer. We're seeking a detail-oriented leader to navigate complex regulatory landscapes and ensure adherence to federal/state laws. Enjoy competitive compensation, comprehensive benefits, and career growth in a dynamic environment. Your expertise will directly shape our compliance framework while safeguarding our operations.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and NC banking regulations
- Conduct risk assessments and internal audits for financial products/services
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical conduct standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Prepare regulatory reports and disclosures for state/federal authorities
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Deep knowledge of banking regulations (BHC Act, CRA, etc.)
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., RSA Archer, Wolters Kluwer)
- Ability to communicate complex concepts to diverse stakeholders
- Proven track record of regulatory compliance program implementation