Job Description
Join our dynamic team as a Compliance Officer in Philadelphia, PA. This pivotal role ensures adherence to federal and state regulations while driving ethical business practices. You'll collaborate with cross-functional teams to implement robust compliance frameworks and mitigate risks in a fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and career growth opportunities with a leader in regulatory excellence.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Train employees on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders and regulators
- Stay updated on evolving regulatory landscapes and policy changes
- Collaborate with legal and business units on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Deep knowledge of AML, KYC, and anti-fraud regulations
- Strong analytical and problem-solving abilities
- Exceptional communication and presentation skills
- Proficiency in compliance management software (e.g., ComplySci, MetricStream)
- Experience with regulatory examinations and investigations