Job Description
Join our dynamic team as a Compliance Officer and become a guardian of regulatory excellence in Philadelphia's thriving financial sector. This pivotal role offers the opportunity to shape compliance frameworks while working alongside industry leaders in a collaborative, growth-oriented environment. We're seeking a detail-oriented professional who thrives in complex regulatory landscapes and is passionate about ethical business practices.
Our competitive compensation package includes comprehensive health benefits, 401(k) matching, and professional development stipends. Enjoy hybrid work arrangements with 2 days remote per week and a modern office steps from Philadelphia's premier financial district.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal (SEC, FINRA, CFPB), state, and industry regulations
- Conduct thorough internal audits and risk assessments to identify compliance gaps and mitigation strategies
- Deliver comprehensive compliance training to staff across all business units
- Manage regulatory reporting requirements and maintain meticulous documentation systems
- Collaborate with legal and executive teams to ensure alignment with organizational policies
- Investigate potential violations and recommend corrective actions with clear implementation timelines
- Stay current on evolving regulations through continuous research and industry networking
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services or regulated industries
- CFMP, CRCM, or CCEP certification strongly preferred
- Deep understanding of SEC regulations, FINRA rules, and AML protocols
- Exceptional analytical skills with ability to interpret complex regulatory documents
- Proven experience designing and implementing compliance frameworks
- Excellent written and verbal communication skills for training and reporting
- Proficiency in compliance management software (e.g., Diligent, MetricStream)