Job Description
Join our award-winning financial institution as a Compliance Officer and become a guardian of ethical standards. In this pivotal role, you'll design robust compliance frameworks, conduct risk assessments, and ensure adherence to federal regulations including Dodd-Frank and SEC guidelines. Collaborate with cross-functional teams to embed compliance excellence into every business decision while mentoring junior staff. Enjoy competitive benefits, professional development stipends, and a hybrid work model in our state-of-the-art downtown Baltimore headquarters.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal/state regulations
- Conduct thorough internal audits and investigations with actionable reporting
- Advise leadership on regulatory changes impacting financial operations
- Train staff on compliance protocols and ethical business practices
- Manage regulatory reporting requirements and document retention policies
- Collaborate with legal team on policy revisions and enforcement actions
- Track KPIs and prepare executive dashboards for compliance metrics
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services sector
- Active CRCM or CCEP certification required
- Deep knowledge of FINRA, SEC, and OCC regulations
- Advanced proficiency in compliance software (e.g., RSA Archer, LogicGate)
- Proven ability to interpret complex regulatory frameworks
- Strong analytical skills with attention to detail
- Excellent written/verbal communication for stakeholder engagement