Job Description
Join our dynamic financial institution in Philadelphia as an immediate hire Compliance Officer. This pivotal role ensures adherence to federal regulations (FinCEN, SEC, CFPB), mitigates compliance risks, and safeguards our institutional integrity. We're seeking a proactive professional to implement robust monitoring systems, conduct thorough audits, and drive regulatory excellence. If you're ready to make an immediate impact in a fast-paced environment, apply today and become a cornerstone of our compliance framework.
Responsibilities
- Develop and implement compliance programs aligned with federal/state regulations
- Conduct risk assessments and internal audits for financial transactions
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports for FINRA, SEC, and other governing bodies
- Collaborate with legal and risk management teams
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- CFMP/CAMS/CCEP certification strongly preferred
- Proficiency with compliance software (e.g., Actimize, NICE Actimize)
- Deep understanding of AML/BSA, Dodd-Frank, and FINRA regulations
- Exceptional analytical and problem-solving skills
- Strong written/verbal communication abilities
- Ability to thrive in a fast-paced, deadline-driven environment