Job Description
Join our dynamic compliance team in Charlotte, NC, where you'll safeguard our financial operations against regulatory risks. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations while driving our compliance culture forward. Enjoy competitive benefits, hybrid work options, and career growth in a rapidly expanding fintech environment.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and NC state regulations
- Conduct internal audits and risk assessments across financial products
- Investigate and resolve compliance violations with corrective action plans
- Train staff on regulatory changes and compliance protocols
- Collaborate with legal and audit teams on regulatory reporting
- Monitor industry trends to proactively address emerging risks
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expert knowledge of FINRA, SEC, and NC banking regulations
- Strong analytical skills with regulatory interpretation experience
- Excellent written communication for policy development
- Proficiency in compliance management software (e.g., MetricStream)