Job Description
Join Pittsburgh's leading financial institution as a Compliance Officer and lead regulatory excellence in a dynamic, high-reward environment. We offer unparalleled career growth, comprehensive benefits, and a culture that values integrity and innovation. This pivotal role ensures adherence to federal regulations (SEC, FINRA, CFPB) while driving strategic compliance initiatives that protect our clients and reputation.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits for financial products and services
- Advise senior leadership on regulatory changes and policy updates
- Train staff on compliance protocols and ethical standards
- Manage regulatory reporting and examination responses
- Collaborate with legal, risk, and operations teams
- Lead remediation efforts for compliance gaps
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Deep expertise in SEC/CFPB regulations
- Advanced analytical and problem-solving skills
- Exceptional written/verbal communication abilities
- Experience with compliance software (e.g., MetricStream, Wolters Kluwer)