Job Description
Join our dynamic compliance team in Buffalo, NY as a Compliance Officer. We provide all necessary equipment including laptop, monitor, and specialized compliance software to ensure your success. This role is critical for maintaining regulatory adherence and fostering a culture of compliance excellence within our financial services organization.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (e.g., FINRA, SEC, NYDFS)
- Conduct regular risk assessments and internal audits across business units
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and internal policies
- Investigate potential compliance violations and recommend corrective actions
- Collaborate with legal and audit teams to address emerging risks
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65/66 licenses (or ability to obtain within 90 days)
- Proficiency with compliance software (e.g., Certent, Diligent)
- Strong knowledge of NYDFS Part 500 regulations
- Exceptional analytical and communication skills
- Ability to manage multiple deadlines in a fast-paced environment