Job Description
Join our dynamic compliance team in the heart of Philadelphia and become a guardian of regulatory excellence. We're seeking a detail-oriented Compliance Officer to ensure adherence to federal and state regulations while driving ethical business practices. This role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a collaborative environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide regulatory guidance and training to staff across all departments
- Monitor regulatory changes and update policies/procedures accordingly
- Investigate potential violations and recommend corrective actions
- Prepare regulatory filings and respond to examiner inquiries
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field required
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) preferred
- Deep knowledge of FINRA rules and SEC regulations
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Experience with compliance management software (e.g., MetricStream, OneTrust)
- Proven ability to interpret complex regulatory requirements