Job Description
Join our award-winning financial institution as a Senior Compliance Officer in Charlotte's thriving Uptown district. Lead critical compliance initiatives for our rapidly expanding investment portfolio while enjoying competitive compensation and comprehensive benefits. This high-impact role offers direct exposure to C-suite leadership and opportunities to shape our regulatory strategy in one of America's fastest-growing financial hubs.
We offer a hybrid work model, professional development stipends, and relocation assistance for top-tier candidates. Our state-of-the-art facility includes on-site wellness centers and collaborative innovation labs designed to attract industry leaders.
Responsibilities
- Develop and implement enterprise-wide compliance programs aligned with SEC, FINRA, and state regulations
- Conduct risk assessments and internal audits for $2B+ asset management division
- Lead AML/KYC investigations and monitor regulatory changes affecting capital markets
- Collaborate with legal and operations teams to ensure Sarbanes-Oxley compliance
- Train 50+ employees on regulatory updates and ethical conduct standards
- Manage compliance reporting to Board of Directors and regulatory bodies
Qualifications
- 7+ years compliance experience in financial services or fintech
- CCEP or CRCM certification required (CAMS preferred)
- Deep expertise in SEC regulations, FINRA rules, and anti-money laundering protocols
- Proven track record of leading regulatory change management initiatives
- Advanced proficiency in compliance monitoring software (e.g., NICE Actimize)
- Strong analytical skills with experience in risk-based testing methodologies
- Master's degree in Finance, Law, or related field