Job Description
Join our dynamic compliance team at Capital City Financial Group, where integrity meets innovation. We're seeking a meticulous Senior Compliance Officer to safeguard our operations and ensure regulatory excellence in Baton Rouge's thriving financial sector. This pivotal role offers competitive compensation, comprehensive benefits, and unparalleled career growth opportunities within Louisiana's premier financial institution.
As a key guardian of our ethical standards, you'll navigate complex regulatory landscapes while fostering a culture of compliance excellence. Your expertise will directly impact our strategic objectives and protect our clients' interests in an ever-evolving financial environment.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct regular risk assessments and internal audits to identify potential compliance vulnerabilities
- Provide expert guidance to senior leadership on regulatory changes and their strategic implications
- Design and deliver targeted compliance training programs for 200+ employees
- Investigate and resolve compliance violations with thorough documentation and corrective action plans
- Collaborate with legal and audit teams to ensure seamless regulatory reporting
- Stay ahead of emerging regulatory trends through continuous research and industry networking
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Active CCEP (Certified Compliance & Ethics Professional) certification required
- Deep expertise in SEC regulations, FINRA rules, and Louisiana state financial laws
- Exceptional analytical skills with proven ability to interpret complex regulations
- Strong project management experience implementing compliance frameworks
- Advanced proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Excellent written/verbal communication skills for training and reporting