Job Description
Join our dynamic compliance team in Cincinnati and become a guardian of regulatory excellence! We're urgently seeking a detail-oriented Compliance Officer to navigate complex financial regulations and ensure operational integrity. This pivotal role offers competitive compensation, career growth, and the chance to protect our clients' interests in a fast-paced environment.
Responsibilities
- Develop and implement robust compliance programs aligned with federal/state regulations (FINRA, SEC, OFAC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Monitor industry changes and advise on emerging risks
- Prepare detailed compliance reports for senior leadership
- Liaise with regulatory bodies during examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Expert knowledge of AML, KYC, and anti-fraud regulations
- Strong analytical and problem-solving abilities
- Exceptional communication and documentation skills
- Experience with compliance software (e.g., Actimize, Nasdaq)