North Carolina Licensed Compliance Officer
Company: VirtualVocations
Location: Lowell
Posted on: April 5, 2025
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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, Pittsfield , North Carolina Licensed Compliance Officer, Other , Lowell, Massachusetts
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