Job Description
Join Baltimore Financial Group as a Compliance Officer and lead our regulatory excellence initiatives. We're seeking a detail-oriented professional to ensure adherence to federal regulations (SEC, FINRA, CFPB) while driving a culture of compliance across all business units. This direct hire role offers career growth in a dynamic financial services environment with competitive compensation and comprehensive benefits.
Responsibilities
- Develop, implement, and monitor compliance policies and procedures aligned with regulatory requirements
- Conduct internal audits and risk assessments to identify compliance gaps
- Train staff on regulatory changes and compliance protocols
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal team on regulatory filings and disclosures
- Stay current with evolving financial regulations (Dodd-Frank, AML, GDPR)
- Prepare compliance reports for executive leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- CFRP, CAMS, or CCEP certification required
- Expert knowledge of SEC, FINRA, and state regulations
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Proficiency in compliance management software (e.g., MetricStream, RSA Archer)