Job Description
Join our dynamic team as a Senior Compliance Officer in Virginia Beach, where you'll safeguard regulatory integrity while driving innovative compliance strategies. We offer a competitive salary package, comprehensive benefits, and opportunities for professional growth in a fast-paced financial environment.
Responsibilities
- Develop, implement, and monitor compliance programs to ensure adherence to federal/state regulations (FINRA, SEC, etc.)
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Collaborate with legal and senior leadership on regulatory changes and policy updates
- Train staff on compliance protocols and regulatory requirements
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services or regulated industry
- FINRA Series 7, 24, or 63/65 certifications required
- Deep knowledge of federal/state compliance regulations (Dodd-Frank, AML, etc.)
- Strong analytical skills with proficiency in compliance software (e.g., OnBase, Compliance 360)
- Exceptional communication abilities for stakeholder training and reporting
- Proven track record of developing effective compliance frameworks