North Carolina Licensed Compliance Officer

Company: VirtualVocations
Location: Canton
Posted on: April 6, 2025

Job Description:

A company is looking for a Senior Compliance Officer - Investor Services (Remote).
Key Responsibilities

Lead the analysis and development of compliance policies, procedures, and systems to ensure regulatory adherence
Act as a liaison between various stakeholders during compliance examinations and resolve complex issues
Prepare reports on compliance reviews and communicate necessary actions to fulfill regulatory requirements

Required Qualifications

Bachelor's Degree and 7 years of experience in Compliance, legal, or audit OR High School Diploma or GED and 11 years of experience in Compliance, legal, or audit
Valid Series 7, 24, 63, 65 or 66 licenses, insurance license preferred

Keywords: VirtualVocations, Mentor , North Carolina Licensed Compliance Officer, Other , Canton, Ohio

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