Job Description
Join our dynamic financial services firm as a Compliance Officer and safeguard regulatory excellence in Philadelphia's thriving business landscape. This pivotal role requires a sharp eye for detail and deep understanding of financial regulations to ensure our organization maintains impeccable compliance standards. You'll be instrumental in shaping our compliance framework while collaborating with cross-functional teams to navigate complex regulatory environments. Enjoy a competitive compensation package, comprehensive benefits, and opportunities for professional growth in one of America's most vibrant financial hubs.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal and state regulations (SEC, FINRA, CFTC)
- Conduct thorough internal audits and risk assessments to identify compliance vulnerabilities
- Prepare detailed regulatory reports and maintain accurate compliance documentation
- Provide comprehensive compliance training to staff across all departments
- Investigate potential compliance breaches and recommend corrective actions
- Stay current on regulatory changes and advise stakeholders on implications
- Collaborate with legal counsel on compliance strategies and policy updates
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Relevant certifications (CRCM, CAMS, CCEP) strongly preferred
- Deep knowledge of FINRA, SEC, and AML regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency with compliance software and regulatory reporting tools
- Experience managing compliance audits and regulatory examinations