Job Description
Join our dynamic team as a Compliance Officer and become a guardian of regulatory excellence. We're urgently seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while driving our ethical standards forward. This critical role offers the opportunity to shape compliance frameworks and protect our organization's reputation in a rapidly evolving financial landscape.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) to update compliance policies
- Conduct internal audits and risk assessments across all departments
- Develop and implement compliance training programs for 500+ employees
- Investigate potential violations and recommend corrective actions
- Liaise with legal counsel and regulatory bodies during examinations
- Maintain comprehensive compliance documentation and reporting systems
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services sector
- CCEP (Certified Compliance & Ethics Professional) certification required
- Expert knowledge of FINRA regulations and AML/BSA requirements
- Advanced proficiency in compliance software (e.g., Diligent, OneTrust)
- Exceptional analytical skills with attention to detail
- Strong written/verbal communication and presentation abilities