Job Description
Are you a detail-oriented Compliance Officer looking for a direct hire opportunity in the heart of Philadelphia? TopTier Financial Services is seeking a strategic leader to oversee our regulatory framework and ensure we operate within the highest standards of integrity. You will be responsible for monitoring regulatory changes, conducting audits, and mitigating risks that could impact our business objectives.
Why Join Us?
We offer a competitive benefits package, a collaborative work environment, and the opportunity to shape the compliance landscape of a growing financial institution. If you have a strong background in risk management and a passion for regulatory excellence, we want to hear from you.
Responsibilities
- Monitor and interpret changes in federal, state, and local regulations to ensure organizational adherence.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Develop, implement, and maintain comprehensive compliance policies and procedures.
- Provide training and guidance to employees on regulatory requirements and internal policies.
- Investigate compliance violations and recommend corrective actions.
- Prepare and submit reports to senior management and regulatory bodies.
- Collaborate with legal and operations teams to resolve complex compliance issues.
Qualifications
- Bachelor’s degree in Law, Business, Finance, or a related field required; Master’s degree preferred.
- 5+ years of experience in compliance, risk management, or internal audit within the financial services sector.
- Strong knowledge of SEC regulations, FINRA rules, and AML/KYC protocols.
- Excellent analytical, problem-solving, and decision-making skills.
- Strong written and verbal communication abilities.
- Certification such as CAMS, CRCM, or CFA is a plus.