Job Description
Join our dynamic compliance team in Philadelphia and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks in the financial services sector. This is a critical role requiring proactive monitoring of evolving regulations and implementation of robust compliance frameworks. Enjoy competitive compensation, comprehensive benefits, and the opportunity to grow within a forward-thinking organization.
Our ideal candidate thrives in fast-paced environments and possesses deep knowledge of FINRA, SEC, and AML regulations. If you're ready to hit the ground running and safeguard our organization's integrity, we encourage you to apply today.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML, BSA) to update compliance policies and procedures
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Develop and deliver comprehensive compliance training programs for staff
- Investigate potential compliance violations and recommend corrective actions
- Collaborate with legal, risk, and business units to implement compliance initiatives
- Prepare detailed compliance reports for senior management and regulatory bodies
- Manage compliance documentation and ensure record-keeping meets regulatory standards
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Deep knowledge of FINRA, SEC, and AML regulations
- Strong analytical skills with attention to detail and accuracy
- Excellent communication skills for training and reporting
- Ability to thrive in deadline-driven environments with competing priorities
- Professional certification (CRCM, CAMS, or CCEP) preferred
- Experience with compliance monitoring software (e.g., Actimize, NICE Actimize)