Job Description
Join our dynamic team as a Compliance Officer in Philadelphia! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and career growth opportunities in the heart of Philly's thriving business district. Apply today and make an immediate impact!
Responsibilities
- Monitor and ensure adherence to FINRA, SEC, and federal/state regulations
- Develop, implement, and maintain robust compliance programs and policies
- Conduct internal audits and risk assessments across business units
- Investigate potential compliance breaches and recommend corrective actions
- Provide compliance training to staff and leadership teams
- Prepare detailed reports for regulatory bodies and executive stakeholders
- Stay updated on regulatory changes and advise on emerging risks
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- Minimum 5 years of compliance experience in financial services
- Strong knowledge of FINRA rules, SEC regulations, and AML requirements
- CRCM, CAMS, or CCEP certification preferred
- Exceptional analytical and problem-solving skills
- Proficient in compliance software (e.g., ComplyAdvantage, MetricStream)
- Excellent communication and stakeholder management abilities