Job Description
Join our award-winning compliance team in Atlanta as a Senior Compliance Officer, where you'll protect our organization and clients in the dynamic financial services sector. We're seeking a detail-oriented professional to develop and implement robust compliance frameworks while fostering a culture of ethical excellence. Enjoy hybrid work arrangements, competitive benefits, and opportunities for professional growth in one of America's most vibrant cities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (FINRA, SEC, FFIEC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide guidance to business units on regulatory requirements and policy updates
- Manage regulatory reporting and prepare documentation for examinations
- Lead investigations of compliance violations and recommend corrective actions
- Stay current on regulatory changes and communicate impacts to stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Strong knowledge of BSA/AML, Dodd-Frank, and SEC regulations
- Exceptional analytical and problem-solving abilities
- Experience with compliance management software (e.g., MetricStream, RCM)
- Proven ability to communicate complex concepts to diverse audiences