Job Description
Join our dynamic team as a Part-Time Compliance Officer in Buffalo, NY. In this critical role, you will ensure adherence to federal and state regulations while safeguarding our organization's integrity. This position offers flexible hours (20-25/week) and the opportunity to make a significant impact in a growing financial services firm. Collaborate with cross-functional teams to implement compliance frameworks and drive ethical business practices.
Responsibilities
- Monitor regulatory changes (FINRA, SEC, NYDFS) and update internal policies accordingly
- Conduct risk assessments and internal audits for compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on AML, KYC, and anti-fraud protocols
- Manage compliance documentation and retention schedules
- Respond to regulatory inquiries and examinations
- Develop corrective action plans for identified violations
Qualifications
- Bachelor's degree in Finance, Law, or related field (or equivalent experience)
- 3+ years compliance/regulatory experience in financial services
- Strong knowledge of FINRA rules and NYDFS regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., Actimize, NICE Actimize)
- Excellent written communication and documentation abilities