Job Description
Join our dynamic team in Charlotte, NC as a Senior Compliance Officer to safeguard our organization's integrity and regulatory compliance. You'll be pivotal in developing robust frameworks, conducting risk assessments, and ensuring adherence to federal and state regulations. Enjoy competitive compensation, comprehensive benefits, and a collaborative environment where your expertise drives meaningful impact.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for stakeholders
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and audit teams to resolve compliance issues
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Strong knowledge of FINRA, SEC, and state regulations
- Experience with compliance software (e.g., Compliance.ai, MetricStream)
- Exceptional analytical and problem-solving abilities
- Excellent communication and presentation skills