Job Description
Join our dynamic team as a Part-Time Compliance Officer in Philadelphia, PA. Regulatory Solutions Group is seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations. This role offers flexible hours while making a significant impact on our risk management framework. You'll work in a collaborative environment supporting financial services clients with evolving compliance landscapes.
Our ideal candidate thrives in fast-paced settings and brings expertise in regulatory interpretation. This position is perfect for professionals seeking work-life balance without compromising career growth. Enjoy competitive compensation, comprehensive training, and opportunities for professional development.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML) impacting financial operations
- Conduct risk assessments and implement mitigation strategies for compliance gaps
- Develop, update, and maintain compliance policies and procedures documentation
- Perform internal audits and testing of control frameworks
- Investigate and resolve compliance incidents with thorough documentation
- Provide training to staff on regulatory requirements and ethical practices
- Collaborate with legal and audit teams to ensure consistent compliance standards
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- Minimum 3 years of compliance experience in financial services
- Strong knowledge of FINRA, SEC regulations, and AML/BSA requirements
- Proficiency in compliance management software (e.g., PolicyPro, Compliance 360)
- Certification (CCEP, CAMS, or CFA) preferred
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to work independently with minimal supervision