Job Description
Join CompliancePro Solutions, a leader in financial regulatory oversight, as our new Compliance Officer in Philadelphia. Enjoy the unique benefit of weekly pay while ensuring our organization meets all federal and state compliance requirements. This role offers competitive compensation, comprehensive benefits, and the opportunity to work in a dynamic, growth-oriented environment.
As a key member of our risk management team, you'll develop and implement compliance programs, conduct internal audits, and stay ahead of evolving regulatory landscapes. Our Philadelphia headquarters offers a collaborative culture with flexible work arrangements and professional development opportunities.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct thorough internal audits and risk assessments for financial products/services
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Stay current on regulatory changes through continuous education and industry networks
- Collaborate with legal, operations, and audit teams on compliance initiatives
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
- Active CRCM, CAMS, or CCEP certification
- Deep knowledge of federal/state financial regulations (Dodd-Frank, BSA, AML)
- Exceptional analytical and investigative skills
- Strong written/verbal communication abilities for regulatory reporting
- Proficiency with compliance software and data analytics tools
- Ability to manage competing priorities in a fast-paced environment