Job Description
Join Baltimore's premier financial institution as a Compliance Officer and safeguard our regulatory integrity. We seek a detail-oriented professional to ensure adherence to federal and state regulations while fostering a culture of compliance excellence. This direct-hire opportunity offers competitive compensation, comprehensive benefits, and career advancement in a dynamic urban environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and Maryland regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory updates and policy changes
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal and operations teams on compliance initiatives
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7 and 63/66 licenses (or ability to obtain within 90 days)
- Strong knowledge of federal/state banking regulations and anti-money laundering laws
- Advanced analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proven experience in policy development and training implementation