Job Description
Join our dynamic team at Baltimore Financial Services Inc. as a Compliance Officer and play a pivotal role in safeguarding our organization's integrity. We're seeking a detail-oriented professional to ensure regulatory adherence, mitigate risks, and maintain ethical standards in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional growth in Baltimore's thriving business district.
Responsibilities
- Monitor and interpret evolving federal, state, and local regulations (e.g., SEC, FINRA, CFPB)
- Develop, implement, and update internal compliance policies and procedures
- Conduct regular audits and risk assessments across all departments
- Investigate potential compliance breaches and recommend corrective actions
- Train employees on regulatory requirements and ethical standards
- Liaise with legal counsel and regulatory bodies as needed
- Prepare detailed compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of financial regulations (e.g., Dodd-Frank, AML/KYC)
- Certifications (CRCM, CAMS, or CCEP) highly preferred
- Exceptional analytical and problem-solving skills
- Proficiency with compliance software (e.g., Fenergo, LogicGate)
- Excellent written and verbal communication abilities