Job Description
Immediate Hire Opportunity: Join our dynamic compliance team in Philadelphia! We're seeking a detail-oriented Compliance Officer to ensure adherence to federal and state regulations. This critical role safeguards our organization's integrity while supporting our rapid growth. Enjoy a competitive salary, comprehensive benefits, and the opportunity to make an immediate impact. Apply today to start your career with a leader in financial services compliance.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, CFTC) to update compliance protocols
- Conduct internal audits and risk assessments across all business units
- Develop and implement compliance training programs for 200+ employees
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain audit documentation
- Collaborate with legal and operations teams on compliance initiatives
- Stay current with AML, KYC, and anti-fraud regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficient with compliance software (e.g., Adenza, Nasdaq)
- Ability to manage competing priorities in a fast-paced environment
- Strong written and verbal communication skills