Job Description
Join our dynamic team as a Compliance Officer at Financial Trust Services, a leading financial institution committed to ethical excellence and regulatory integrity. We're seeking a detail-oriented professional to ensure our operations adhere to federal and state regulations while fostering a culture of compliance. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in Buffalo's thriving financial sector.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, NYDFS) to update compliance frameworks
- Conduct internal audits and risk assessments across banking operations
- Develop and implement compliance training programs for 100+ employees
- Investigate potential violations and prepare regulatory reporting documentation
- Liaise with external auditors and regulatory agencies during examinations
- Maintain electronic tracking systems for compliance activities
- Lead remediation efforts for identified control gaps
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Proficiency in compliance software (e.g., Compliance.ai, MetricStream)
- Strong knowledge of NYDFS Part 500 regulations
- Excellent written/verbal communication skills
- Experience leading cross-functional compliance projects
- Certified Regulatory Compliance Manager (CRCM) designation a plus