Job Description
Join our dynamic compliance team as an entry-level Compliance Officer! No prior experience required – we provide comprehensive training to launch your career in regulatory oversight. Perfect for recent graduates or career changers passionate about financial integrity. Enjoy competitive benefits, mentorship from industry experts, and a clear path for professional growth in one of the world's most vibrant financial hubs.
Responsibilities
- Monitor regulatory updates and ensure organizational adherence to FINRA, SEC, and NYDFS requirements
- Assist in developing compliance policies and procedures for new financial products
- Conduct routine risk assessments and document findings for audit trails
- Collaborate with departments to implement compliance controls and training programs
- Prepare reports for senior management on compliance metrics and potential risks
- Respond to regulatory inquiries and maintain accurate compliance documentation
- Participate in internal audits and corrective action planning initiatives
Qualifications
- Associate's degree or higher in Business, Finance, or related field (or equivalent experience)
- Strong attention to detail and analytical problem-solving abilities
- Excellent written and verbal communication skills
- Proficiency in Microsoft Office Suite and basic data analysis tools
- Ability to learn complex regulations quickly through structured training
- Proactive mindset with commitment to ethical standards
- Team player with ability to collaborate across departments
- Willingness to obtain relevant certifications (company-sponsored)