Job Description
Join Regulatory Shield Solutions as a Compliance Officer in Buffalo, NY, where we prioritize your success with fully equipped workstations and cutting-edge compliance software. Our dynamic team ensures regulatory excellence across financial services, with comprehensive training and state-of-the-art tools provided to support your professional growth. Enjoy a collaborative environment dedicated to ethical standards and industry leadership.
Responsibilities
- Monitor regulatory changes and implement updated compliance protocols
- Conduct internal audits and risk assessments for financial institutions
- Prepare detailed compliance reports for senior management and regulatory bodies
- Train staff on compliance procedures and ethical guidelines
- Investigate potential violations and recommend corrective actions
- Collaborate with legal teams on regulatory documentation
- Ensure adherence to FINRA, SEC, and NYDFS regulations
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 certifications required
- Strong knowledge of NYDFS regulations and SEC guidelines
- Proficient in compliance software (e.g., OnBase, Certify)
- Excellent analytical and reporting skills
- Ability to manage multiple projects with competing deadlines