Job Description
Join our dynamic team as a Compliance Officer at Baltimore Financial Services Inc., where integrity drives innovation. You'll safeguard our organization by ensuring adherence to federal regulations, internal policies, and industry standards. This pivotal role combines analytical rigor with strategic thinking to mitigate risks and foster a culture of compliance excellence. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in Baltimore's thriving financial district.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate documentation
- Train staff on compliance policies and ethical standards
- Collaborate with legal and executive teams on regulatory changes
- Investigate potential violations and recommend corrective actions
- Stay current with evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7 and 63/66 licenses (or ability to obtain within 90 days)
- Proficiency with compliance management software (e.g., Compliance.ai, Fenergo)
- Strong knowledge of AML, KYC, and anti-fraud regulations
- Exceptional analytical and problem-solving abilities
- Certified Compliance & Ethics Professional (CCEP) certification preferred