Job Description
Join our dynamic team as a Compliance Officer and become the guardian of regulatory excellence in Philadelphia's thriving financial sector. We're urgently seeking a detail-oriented professional to ensure adherence to federal and state regulations while driving ethical business practices. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategies in a fast-paced environment. Apply today to make an immediate impact!
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Monitor regulatory changes and advise on implementation strategies
- Prepare compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Active CCO or CRCM certification required
- Deep knowledge of FINRA, SEC, and PA state regulations
- Strong analytical and problem-solving abilities
- Exceptional communication and presentation skills
- Experience with compliance management software (e.g., Diligent, OneTrust)
- Ability to thrive in high-pressure, deadline-driven environments