Job Description
Join our dynamic compliance team at Baltimore Financial Services, a leading financial institution committed to ethical excellence and regulatory integrity. As a Compliance Officer, you'll play a pivotal role in safeguarding our organization's reputation and ensuring adherence to federal and state regulations. Enjoy competitive benefits, professional development opportunities, and a collaborative work environment in the heart of downtown Baltimore. Apply today to become part of our mission-driven team!
Responsibilities
- Develop, implement, and maintain compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and prepare detailed regulatory reports
- Provide comprehensive compliance training to staff across all departments
- Monitor regulatory updates and advise on policy changes affecting operations
- Liaise with external regulators during examinations and inquiries
- Document all compliance activities and maintain audit-ready records
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA rules and SEC regulations
- Relevant certifications (CRCM, CAMS, or CCEP preferred)
- Exceptional analytical and problem-solving skills
- Experience with compliance software and regulatory reporting tools
- Proven ability to interpret complex regulatory requirements
- Excellent written and verbal communication skills