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North Carolina Licensed Compliance Officer
A company is looking for a Compliance Officer - Investor Services (Remote). Key Responsibilities Analyze external laws and internal processes to ensure regulatory compliance and recommend necessary changes Serve as a liaison during compliance examinations and resolve issues related to compliance processes Prepare management reports on compliance reviews and communicate necessary regulatory actions Required Qualifications Bachelor's Degree and 5 years of experience in Compliance, Legal, or Audit OR High School Diploma or GED and 9 years of experience in Compliance, Legal, or Audit Valid Series 7 & 24 licensing Valid Series 63, 65, 66 licensing
A company is looking for a Compliance Officer - Investor Services (Remote).
Key Responsibilities
Analyze external laws and internal processes to ensure regulatory compliance and recommend necessary changes
Serve as a liaison during compliance examinations and resolve issues related to compliance processes
Prepare management reports on compliance reviews and communicate necessary regulatory actions
Required Qualifications
Bachelor's Degree and 5 years of experience in Compliance, Legal, or Audit OR High School Diploma or GED and 9 years of experience in Compliance, Legal, or Audit
Valid Series 7 & 24 licensing
Valid Series 63, 65, 66 licensing