Job Description
Join our dynamic team as a Compliance Officer in Philadelphia, PA, where you'll safeguard regulatory integrity and drive ethical excellence. This direct-hire opportunity offers competitive compensation, comprehensive benefits, and career growth in a fast-paced financial environment. If you're passionate about compliance innovation and want to make an impact, apply today!
Responsibilities
- Develop and implement compliance programs aligned with federal regulations (FINRA, SEC, CFTC)
- Conduct risk assessments and internal audits for financial operations
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and senior leadership on compliance strategy
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Expert knowledge of AML, KYC, and Dodd-Frank regulations
- Strong analytical skills and attention to detail
- Experience with compliance software (e.g., MetricStream, Wolters Kluwer)
- Excellent written/verbal communication skills