Job Description
Are you a detail-oriented professional looking to drive integrity and regulatory excellence?
Guardian Financial Services is seeking a highly skilled Compliance Officer to join our dynamic team in Buffalo, NY. In this pivotal role, you will serve as the guardian of our operational standards, ensuring we navigate the complex regulatory landscape with precision and confidence. We offer a competitive salary, comprehensive benefits, and a culture that values professional growth and ethical leadership.
Why Join Us?
- Competitive compensation package ($70k - $90k).
- Comprehensive health, dental, and vision insurance.
- Generous retirement savings plan with company match.
- Professional development and continuing education opportunities.
- A collaborative, inclusive work environment in the heart of Buffalo.
Responsibilities
- Monitor and evaluate the organization's adherence to federal, state, and local laws and regulations.
- Conduct regular internal audits to identify potential risks and compliance gaps.
- Develop, implement, and update comprehensive compliance policies and procedures.
- Investigate potential violations of internal policies or external laws and recommend corrective actions.
- Coordinate with external regulators and auditors to ensure accurate reporting and documentation.
- Provide training and guidance to staff members on compliance standards and ethical business practices.
- Maintain up-to-date knowledge of changes in regulatory frameworks affecting the industry.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree preferred).
- Minimum of 3-5 years of progressive experience in compliance, risk management, or auditing.
- Strong working knowledge of relevant financial regulations (e.g., SEC, FINRA, state banking laws).
- Excellent analytical skills with the ability to interpret complex regulations.
- Outstanding written and verbal communication skills.
- Attention to detail and the ability to manage multiple priorities in a fast-paced environment.
- Professional certification (e.g., CFE, CRCM, CPA) is a plus.