Job Description
Join our dynamic compliance team at Buffalo Financial Services, a leading financial institution dedicated to ethical excellence. We seek a detail-oriented Part-Time Compliance Officer to ensure adherence to federal regulations (FINRA, SEC) and internal policies. This hybrid role offers flexible hours while making a tangible impact on our risk management framework. Ideal for professionals seeking part-time opportunities in Buffalo's thriving financial sector.
Responsibilities
- Monitor daily transactions for regulatory compliance flags and suspicious activity
- Conduct periodic internal audits and risk assessments across departments
- Develop/update compliance documentation and training materials
- Collaborate with legal team on regulatory changes and policy updates
- Manage AML/KYC verification processes for new client accounts
- Prepare comprehensive compliance reports for senior leadership
- Act as primary liaison between business units and compliance department
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience in financial services
- FINRA Series 63/65/66 certification (or equivalent)
- Proficiency in compliance software (e.g., ComplyAdvantage, Smartsheet)
- Strong knowledge of NYDFS regulations and SEC guidelines
- Exceptional analytical and investigative skills
- Ability to work independently with minimal supervision