Compliance Officer I - North Carolina

Job Summary

A company is looking for a Compliance Officer I - Asset Management and Capital Markets (Remote).

Key Responsibilities

• Analyze compliance program areas against regulatory requirements and implement necessary changes
• Provide guidance to business units on compliance with relevant regulations and support regulatory exams
• Identify, track, and resolve compliance issues while recommending process improvements

Required Qualifications

• Bachelor's Degree and 4 years of experience in Compliance, Legal, Audit, or Banking, or High School Diploma/GED with 8 years of relevant experience
• Preferred: FINRA Series 7, 63, 79, and 24 certifications
• Strong knowledge of FINRA rules related to broker dealers
• Experience in Broker-Dealer Compliance
• Preferred certifications: CAMS, CAFP, CRCM, CIPP