Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Buffalo, NY! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. This is a rare opportunity to make an immediate impact with a competitive compensation package and comprehensive benefits. If you're ready to hit the ground running in a mission-critical role, apply today!
Responsibilities
- Monitor and interpret federal/state regulations (FINRA, SEC, NYDFS) to ensure organizational compliance
- Develop and implement compliance policies, procedures, and training programs
- Conduct regular internal audits and risk assessments across all departments
- Investigate potential compliance violations and recommend corrective actions
- Liaise with regulatory agencies and maintain accurate reporting documentation
- Advise leadership on emerging regulatory trends and their impact on operations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Certified Compliance & Ethics Professional (CCEP) designation required
- Exceptional analytical skills with attention to detail
- Proven ability to communicate complex regulations to non-technical stakeholders
- Experience with compliance monitoring software (e.g., OnBase, Diligence)