Job Description
Join our dynamic compliance team in Buffalo, NY as a Compliance Officer where we provide all necessary equipment to excel in your role! This is an exciting opportunity to safeguard regulatory integrity while enjoying a fully-equipped workspace. We offer competitive benefits, career growth, and a collaborative environment focused on excellence.
What We Offer:
• Laptop, dual monitors, and ergonomic workstation
• Compliance software licenses and training resources
• Dedicated research tools and regulatory databases
• Comprehensive health, dental, and vision insurance
• 401(k) with company match
Responsibilities
- Monitor and ensure adherence to federal, state, and industry regulations (NYDFS, FINRA, SEC)
- Develop and implement compliance policies and procedures
- Conduct internal audits and regulatory examinations
- Investigate and resolve compliance violations
- Prepare detailed compliance reports for executive leadership
- Train staff on regulatory requirements and best practices
- Stay updated on emerging compliance trends and regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of NY and federal banking regulations
- Experience with compliance software (e.g., Nasdaq, Wolters Kluwer)
- Excellent analytical and problem-solving skills
- Strong written and verbal communication abilities
- Relevant certifications (CRCM, CAMS) preferred