Job Description
Join our dynamic team as a Compliance Officer in Buffalo, NY, where you'll safeguard our organization's integrity through regulatory expertise and risk management excellence. This pivotal role requires a proactive professional to navigate complex financial landscapes while ensuring adherence to federal and state regulations. You'll collaborate with cross-functional departments to develop robust compliance frameworks, conduct thorough audits, and implement corrective actions. If you're passionate about maintaining ethical standards and driving organizational accountability, this is your opportunity to make a significant impact in a thriving financial hub.
Responsibilities
- Monitor regulatory changes and implement updated compliance procedures across all business units
- Conduct internal audits to assess adherence to FINRA, SEC, and NYDFS regulations
- Develop and deliver comprehensive compliance training programs for 200+ employees
- Investigate potential violations and recommend corrective actions to executive leadership
- Prepare detailed compliance reports for board meetings and regulatory agencies
- Collaborate with legal team on policy development and risk mitigation strategies
- Manage vendor compliance assessments for third-party service providers
Qualifications
- Bachelor's degree in Finance, Business, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of federal/state banking regulations and NYDFS requirements
- Strong analytical skills with proficiency in compliance management software
- Exceptional communication abilities for training and stakeholder engagement
- Proven experience developing and implementing compliance programs
- Ability to manage multiple priorities with meticulous attention to detail