Job Description
Join our prestigious financial services firm in the heart of Washington, DC as a Compliance Officer. You'll be instrumental in safeguarding our organization's integrity by ensuring adherence to federal regulations and internal policies. This senior role offers unparalleled exposure to regulatory landscapes while driving ethical business practices across all departments.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with SEC, FINRA, and federal regulations
- Conduct regular risk assessments and internal audits to identify compliance vulnerabilities
- Provide expert guidance to stakeholders on regulatory changes and policy updates
- Lead investigations into potential compliance breaches and recommend corrective actions
- Collaborate with legal and executive teams to maintain compliance frameworks
- Train staff on compliance protocols and regulatory requirements
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services or regulated industries
- FINRA Series 7, 24, and 63 certifications required
- Deep knowledge of SEC, FINRA, and federal banking regulations
- Exceptional analytical and problem-solving abilities
- Strong communication skills with ability to present complex concepts clearly