Job Description
Join our dynamic team as a Part-Time Compliance Officer in the heart of New York City! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks within the financial services sector. This flexible role offers the perfect opportunity to leverage your expertise in a fast-paced environment while maintaining work-life balance. Enjoy competitive compensation and the chance to make a tangible impact on our organization's compliance framework.
Responsibilities
- Monitor and interpret evolving regulatory requirements (SEC, FINRA, NYDFS)
- Conduct internal audits and risk assessments across business units
- Develop and implement compliance policies, procedures, and training programs
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive stakeholders
- Liaise with legal counsel and regulatory bodies as needed
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of NYDFS regulations and SEC guidelines
- Excellent analytical and problem-solving abilities
- Proficiency in compliance software (e.g., Certify, Compliance 360)
- Strong written and verbal communication skills
- Relevant certifications (CRCM, CCEP) preferred