Job Description
Join our dynamic compliance team at Empire Financial Group and become a guardian of regulatory excellence in Buffalo's thriving financial sector. We're seeking a meticulous Compliance Officer to ensure adherence to federal regulations, internal policies, and industry standards. This role offers strategic impact in a collaborative environment where your expertise directly safeguards our operations and reputation.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, NYDFS) to update compliance frameworks
- Conduct risk assessments and internal audits across banking operations
- Develop and implement compliance training programs for 200+ employees
- Manage AML/KYC protocols and Suspicious Activity Reporting (SAR)
- Collaborate with legal and audit teams on corrective action plans
- Prepare regulatory filings and management reports
- Lead compliance initiatives for digital banking products
Qualifications
- Bachelor's degree in Finance, Law, or related field required
- 3+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency in compliance software (e.g., Thomson Reuters, Wolters Kluwer)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Experience with NYDFS Part 500 regulations