Job Description
Join our dynamic compliance team as an Entry-Level Compliance Officer and launch your career in financial regulation without prior experience! We provide comprehensive training and mentorship to develop your expertise in monitoring regulatory requirements, conducting risk assessments, and ensuring organizational adherence to industry standards. This is your opportunity to grow within a leading financial institution while contributing to our commitment to ethical business practices and regulatory excellence.
Responsibilities
- Monitor and interpret regulatory updates from FINRA, SEC, and NYDFS
- Assist in developing internal compliance policies and procedures
- Conduct routine compliance reviews and risk assessments
- Prepare detailed compliance reports for senior management
- Coordinate with departments to ensure adherence to compliance standards
- Support internal audits and regulatory examinations
- Document compliance activities and maintain audit trails
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- Strong attention to detail and analytical thinking skills
- Excellent written and verbal communication abilities
- Basic knowledge of Microsoft Office Suite
- Ability to learn complex regulatory frameworks
- Proactive problem-solving approach
- Commitment to ethical conduct and confidentiality
- No prior compliance experience required – training provided!