Job Description
Join our prestigious financial institution as a Compliance Officer in Philadelphia, PA. We're seeking a proactive professional to safeguard regulatory integrity while driving business growth. This direct hire opportunity offers competitive compensation, comprehensive benefits, and career advancement in a dynamic corporate environment.
You'll collaborate with executive leadership to develop robust compliance frameworks, conduct risk assessments, and ensure adherence to FINRA, SEC, and federal regulations. Our award-winning culture values innovation and professional development, making this ideal for ambitious compliance professionals.
Responsibilities
- Design and implement comprehensive compliance programs aligned with industry regulations
- Conduct regular audits and risk assessments across all business units
- Monitor regulatory changes and advise leadership on compliance implications
- Develop training materials and conduct compliance education for staff
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for regulatory bodies and stakeholders
- Collaborate with legal, HR, and operations teams to ensure cohesive compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 24 or Series 27 certification required
- Deep knowledge of SEC, FINRA, and AML regulations
- Advanced analytical and problem-solving abilities
- Exceptional communication and presentation skills
- Experience with compliance software (e.g., NASD, Actimize)
- Professional certification (CRCM, CCEP, or CCRM) preferred