Job Description
We are urgently seeking a highly skilled Compliance Officer to join our dynamic team in New York City. In this critical role, you will ensure adherence to federal regulations, internal policies, and industry standards while driving our compliance framework forward. Join a forward-thinking firm where your expertise will directly impact regulatory risk mitigation and organizational integrity.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare and present detailed compliance reports to senior leadership and regulatory bodies
- Advise business units on regulatory changes and policy implications
- Manage compliance investigations and corrective action plans
- Coordinate with legal counsel on regulatory inquiries and examinations
- Train staff on compliance policies and ethical standards
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Experience with compliance monitoring software (e.g., NASD, Bloomberg)
- Excellent analytical and problem-solving abilities
- Strong written and verbal communication skills
- Certifications (CRCM, CAMS, or CCEP) highly desirable