Job Description
Join our prestigious financial institution in New Orleans as a Senior Compliance Officer and lead our regulatory framework. We offer a competitive compensation package, comprehensive benefits, and opportunities for professional growth in a dynamic environment. This role is pivotal in ensuring adherence to federal regulations, mitigating risks, and fostering a culture of compliance excellence.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (Dodd-Frank, AML, SEC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and regulatory requirements
- Investigate and resolve compliance breaches with corrective actions
- Collaborate with legal, audit, and business units on compliance initiatives
- Prepare regulatory reports for SEC, FINRA, and other authorities
Qualifications
- Bachelor's degree in Finance, Law, or related field; Master's preferred
- 7+ years of compliance experience in financial services
- CRCM, CAMS, or CCEP certification required
- Expert knowledge of federal banking regulations and SEC rules
- Strong analytical skills and attention to detail
- Experience managing compliance programs in regulated industries
- Excellent communication and stakeholder management abilities