Job Description
Join our dynamic team at Baltimore Financial Group as a Compliance Officer and become a guardian of ethical excellence. In this pivotal role, you'll safeguard our organization's integrity by ensuring adherence to federal regulations (SEC, FINRA, CFPB), internal policies, and industry best practices. Collaborate with cross-functional departments to develop robust compliance frameworks, conduct risk assessments, and implement proactive monitoring systems. This direct hire position offers competitive compensation, comprehensive benefits, and the opportunity to make a tangible impact in Baltimore's thriving financial sector.
Responsibilities
- Monitor and interpret regulatory changes (e.g., Dodd-Frank, AML, KYC) to update compliance programs
- Lead internal audits and regulatory examinations with FINRA/SEC bodies
- Develop and deliver compliance training programs to 500+ employees
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain compliance documentation
- Collaborate with Legal and Risk teams on policy development
- Manage third-party vendor compliance assessments
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certifications (CRCM, CAMS, or CCEP) required
- Expert knowledge of SEC, FINRA, and state regulations
- Advanced proficiency in compliance software (e.g., Encompass, ComplyAdvantage)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Experience managing compliance audits and examinations