Job Description
Join our dynamic team as a Part-Time Compliance Officer in Buffalo, NY. This role is perfect for detail-oriented professionals seeking flexible hours while making a significant impact in regulatory compliance. You'll ensure adherence to federal and state regulations, conduct risk assessments, and implement compliance protocols. Enjoy a supportive environment with opportunities for professional growth in a rapidly evolving industry.
Responsibilities
- Monitor and interpret regulatory changes affecting financial operations
- Develop and maintain compliance policies and procedures
- Conduct internal audits and risk assessments
- Prepare detailed compliance reports for stakeholders
- Train staff on compliance requirements and best practices
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and senior management on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Knowledge of FINRA, SEC, and NYDFS regulations
- Strong analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Proficiency in compliance software and MS Office Suite
- Ability to work independently with minimal supervision
- Relevant certification (CRCM, CCEP, or CAMS) preferred