Job Description
Join our dynamic compliance team in Philadelphia and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence across financial operations. This is a critical role safeguarding our organization's integrity while fostering a culture of compliance excellence.
As a key member of our risk management division, you'll collaborate with legal, finance, and audit teams to implement robust compliance frameworks. Our Philadelphia headquarters offers a collaborative environment with competitive benefits and opportunities for professional growth.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, OCC, CFPB) applicable to financial services
- Develop, implement, and audit internal compliance policies/procedures
- Conduct risk assessments and compliance testing across business units
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Train staff on compliance requirements and ethical standards
- Coordinate with external regulators during examinations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years compliance/risk management experience in financial services
- Strong knowledge of FINRA rules, SEC regulations, and AML/BSA requirements
- Certified Regulatory Compliance Manager (CRCM) or CCEP designation preferred
- Exceptional analytical and problem-solving skills
- Experience with compliance monitoring software (e.g., MetricStream, RSA Archer)
- Ability to communicate complex concepts clearly to diverse stakeholders