Job Description
Join our dynamic compliance team in the heart of Washington, DC and become a guardian of regulatory excellence. We're seeking a meticulous Compliance Officer to navigate complex regulatory landscapes and uphold our unwavering commitment to ethical operations. This role offers the opportunity to shape compliance frameworks while working with industry leaders in a fast-paced, mission-driven environment.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal regulations (SEC, FINRA, CFTC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate documentation
- Advise stakeholders on regulatory changes and best practices
- Coordinate with legal counsel and external regulators during inquiries
- Lead training initiatives to enhance organizational compliance awareness
- Stay abreast of evolving regulatory trends in financial services
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Active CCEP (Certified Compliance & Ethics Professional) certification
- Deep understanding of SEC, FINRA, and AML regulations
- Exceptional analytical and problem-solving abilities
- Strong written communication and report-writing skills
- Experience with compliance management software (e.g., OnGuard, MetricStream)
- Ability to thrive in deadline-driven regulatory environments