Job Description
Join our elite compliance team as a Compliance Officer where cutting-edge equipment is provided to ensure regulatory excellence. We're seeking a detail-oriented professional to safeguard our operations in the heart of NYC's financial district. Enjoy a collaborative environment with state-of-the-art tools and comprehensive benefits.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct internal audits and risk assessments using provided monitoring equipment
- Investigate potential violations and prepare detailed regulatory reports
- Train staff on compliance policies using provided digital training platforms
- Stay current with regulatory changes via provided industry databases and research tools
- Coordinate with external auditors and regulatory authorities
Qualifications
- Bachelor's degree in Finance, Law, or related field required
- 3+ years compliance experience in financial services
- FINRA Series 7, 24, or 63/26 certifications
- Proficiency with compliance software (e.g., OnBase, Compliance.ai)
- Exceptional analytical and documentation skills
- Strong understanding of NYDFS Part 500 regulations
- Certified Regulatory Compliance Manager (CRCM) preferred