Job Description
Join our dynamic compliance team as a Part-Time Compliance Officer in the heart of Manhattan. This role offers the flexibility of part-time hours while providing exposure to cutting-edge regulatory frameworks in the financial services industry. Ideal for professionals seeking work-life balance without compromising impact.
We offer competitive compensation, remote flexibility, and opportunities for professional growth in a collaborative environment. Perfect for mid-level professionals looking to advance their compliance career.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct risk assessments and internal audits for financial transactions
- Prepare and submit regulatory reports to FINRA/SEC/Dodd-Frank authorities
- Train staff on compliance procedures and regulatory requirements
- Investigate and resolve compliance violations with documented remediation plans
- Maintain accurate compliance documentation and audit trails
- Collaborate with legal and internal audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Active FINRA Series 63/65/66 or equivalent regulatory certification
- Proficiency with compliance management software (e.g., Compliance.ai, LogicGate)
- Strong knowledge of FINRA, SEC, and NYDFS regulations
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to work independently with minimal supervision