Job Description
Join our dynamic team at Innovate Financial Solutions as a Senior Compliance Officer and become a guardian of ethical excellence in the heart of Raleigh's thriving financial district. We're seeking a detail-oriented leader to navigate complex regulatory landscapes and shape our compliance framework. Enjoy a competitive benefits package including flexible work arrangements and professional development opportunities.
Responsibilities
- Develop and implement robust compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct comprehensive risk assessments and internal audits across all business units
- Provide expert guidance to stakeholders on regulatory changes and policy updates
- Lead training initiatives to ensure organizational compliance awareness
- Manage regulatory reporting and documentation requirements
- Collaborate with legal and internal audit teams on compliance investigations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of SEC regulations and NC state compliance requirements
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills