Job Description
Join our dynamic team in Buffalo as an immediate-hire Compliance Officer! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risk in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact on our compliance framework. Apply today to start your career with us immediately!
Responsibilities
- Monitor and interpret regulatory changes to ensure organizational compliance with federal and state laws
- Conduct internal audits and risk assessments across all departments
- Develop and implement compliance policies, procedures, and training programs
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal, finance, and operations teams on compliance initiatives
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay updated on industry best practices and emerging compliance technologies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, NYDFS, and AML regulations
- Excellent analytical skills with attention to detail and accuracy
- Proven ability to interpret complex regulations and implement solutions
- Proficiency in compliance management software and MS Office Suite
- Strong written and verbal communication skills
- Relevant certifications (CRCM, CAMS, CCEP) highly desirable