Job Description
Join Baltimore Financial Group as a key Compliance Officer to safeguard our institution's integrity and regulatory standing. We're seeking a detail-driven professional to develop and implement robust compliance frameworks within our dynamic financial services environment. Enjoy competitive benefits, professional development opportunities, and the chance to make tangible impact in a city renowned for its innovation.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with federal/state regulations (Dodd-Frank, AML, BSA)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Liaise with regulatory bodies (FINRA, SEC, OCC) during examinations
- Monitor industry trends and update policies accordingly
- Prepare detailed compliance reports for senior leadership
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 26/27 and/or CRC certification required
- Expert knowledge of banking regulations and risk management frameworks
- Strong analytical skills with attention to detail
- Exceptional written/verbal communication abilities
- Proven track record of implementing compliance controls
- Experience with compliance software (e.g., Actimize, NICE Actimize)