Job Description
Join our dynamic team as a Compliance Officer in Philadelphia and become a guardian of ethical standards! We're urgently seeking a detail-oriented professional to ensure regulatory adherence while driving innovation in financial services. This high-impact role offers competitive compensation, comprehensive benefits, and career advancement opportunities in one of America's most vibrant cities. Apply today to make your mark in compliance excellence!
Responsibilities
- Monitor and implement federal/state regulatory requirements (FINRA, SEC, AML)
- Conduct risk assessments and internal audits across business units
- Develop/update compliance policies and procedures documentation
- Train staff on regulatory changes and ethical practices
- Investigate potential compliance violations and recommend corrective actions
- Collaborate with legal department on regulatory filings
- Track industry trends and emerging compliance technologies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance/regulatory experience in financial services
- Certification (CRCM, CAMS, or CCEP) required
- Advanced knowledge of FINRA/SEC regulations and AML protocols
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills
- Experience with compliance management software (e.g., RSA Archer)
- Proven track record in developing compliance training programs