Job Description
Join our award-winning financial services leader as a Senior Compliance Officer in Raleigh, NC. This high-impact role offers a competitive salary package ($110k-$150k), comprehensive benefits, and the opportunity to shape compliance strategy for a rapidly growing organization. We're seeking a detail-oriented professional to ensure regulatory adherence while driving innovation in risk management. Enjoy hybrid work flexibility and career advancement in one of America's fastest-growing tech hubs.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products/services
- Lead investigations into regulatory violations and recommend corrective actions
- Prepare regulatory filings and maintain compliance documentation
- Train staff on compliance policies and emerging regulatory requirements
- Collaborate with legal and business units to mitigate compliance risks
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- FINRA Series 7, 24, or 63 licenses required
- Deep knowledge of federal/state banking regulations (Dodd-Frank, BSA, AML)
- Strong analytical skills with regulatory interpretation expertise
- Experience with GRC platforms (e.g., RSA Archer, LogicGate)
- Excellent written communication and presentation abilities