Job Description
Immediate Opening for Compliance Officer in Virginia Beach, VA! Join our dynamic team at Coastal Financial Solutions and drive regulatory excellence in the financial services sector. This urgent hiring opportunity offers competitive compensation and the chance to shape our compliance framework in a fast-paced environment.
We seek a detail-oriented professional to ensure adherence to federal regulations (FINRA, SEC, OCC) and internal policies. If you're passionate about risk mitigation and ethical standards, apply today to join our award-winning compliance team!
Responsibilities
- Monitor regulatory changes and implement updated compliance policies/procedures
- Conduct internal audits and risk assessments for financial operations
- Train staff on compliance protocols and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports for FINRA/SEC/DOJ submissions
- Collaborate with legal department on compliance program enhancements
- Manage vendor due diligence processes
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Strong knowledge of federal banking regulations (Banks Secrecy Act, AML)
- Experience with compliance management software (e.g., MetricStream, Encompass)
- Exceptional analytical and investigative skills
- Professional certification (CRCM, CAMS) preferred