Job Description
Join Capital Dynamics Financial as a Senior Compliance Officer and shape regulatory excellence in one of America's fastest-growing tech hubs. We're seeking a driven professional to ensure adherence to federal and state regulations while driving innovative compliance solutions. This high-impact role offers unparalleled growth potential in a forward-thinking environment.
Our Raleigh team operates at the intersection of finance and technology, offering a dynamic culture that values integrity and strategic thinking. Enjoy competitive benefits, flexible work arrangements, and the opportunity to make tangible impact on our compliance framework.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and audits to identify potential compliance vulnerabilities
- Collaborate with legal and operations teams to establish regulatory controls
- Monitor regulatory changes and advise stakeholders on compliance implications
- Lead internal investigations and remediation efforts for compliance breaches
- Prepare comprehensive compliance reports for executive leadership and regulatory bodies
- Mentor junior compliance staff and foster a culture of compliance awareness
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services or fintech
- FINRA Series 7, 24, or 63 certifications required
- Deep knowledge of federal banking regulations and North Carolina state laws
- Proven experience developing compliance frameworks and risk mitigation strategies
- Strong analytical skills with proficiency in compliance management software
- Excellent communication abilities for presenting complex regulatory concepts