Job Description
Join our elite compliance team at Financial Integrity Partners, a leading financial services firm in Charlotte's thriving Uptown district. We seek a dynamic Senior Compliance Officer to safeguard our operations while driving ethical excellence. Enjoy competitive compensation, comprehensive benefits, and career advancement in one of America's fastest-growing financial hubs. Why Charlotte? Top-tier financial institutions, a vibrant business ecosystem, and unmatched work-life balance. What We Offer: Performance bonuses, flexible scheduling, 401(k) matching, and professional development stipends. Apply today to become a guardian of financial integrity!
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with SEC, FINRA, and state regulations
- Conduct high-stakes internal audits and risk assessments across trading, investment, and advisory operations
- Lead regulatory examinations, responding to inquiries from FINRA, SEC, and NC Department of Insurance
- Design and deliver compliance training to senior executives and frontline staff
- Partner with legal and risk management teams to mitigate emerging regulatory threats
- Stay ahead of evolving fintech regulations including digital asset compliance frameworks
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services or fintech
- Active CCO (Chief Compliance Officer) or CRCM (Certified Regulatory Compliance Manager) certification
- Expertise in FINRA Rules, SEC Compliance, and North Carolina financial regulations
- Proven track record leading regulatory examinations and enforcement responses
- Exceptional analytical skills with proficiency in compliance monitoring platforms (e.g., NASD, Bond Desk)
- Strong presentation skills with experience training C-suite executives