Job Description
Join our award-winning financial services firm as a Compliance Officer and become the guardian of ethical standards. You'll ensure adherence to federal regulations (FINRA, SEC, OCC) while driving our culture of integrity forward. This hybrid role offers competitive compensation, comprehensive benefits, and clear pathways to leadership.
Responsibilities
- Monitor regulatory changes and implement compliance policies across banking operations
- Conduct internal audits and risk assessments for AML/KYC protocols
- Train 50+ employees on compliance procedures and ethical conduct
- Investigate potential violations and prepare regulatory reports
- Collaborate with legal counsel on policy updates and enforcement actions
- Lead quarterly compliance committee meetings with executive stakeholders
Qualifications
- Bachelor's degree in Finance, Business, or Law (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 63/66 or 7/24 certifications required
- Expert knowledge of BSA/AML, Dodd-Frank, and SEC regulations
- Strong analytical skills with proficiency in compliance software (e.g., ComplySci)
- Exceptional written communication for policy documentation
- SHRM or CCEP certification a plus