Job Description
Join our dynamic team as a Part-Time Compliance Officer in Philadelphia, where you'll safeguard regulatory excellence while enjoying a flexible schedule. We're seeking a detail-oriented professional to ensure adherence to federal and state regulations, protecting our clients and reputation in the financial services sector. This hybrid role offers the perfect blend of impactful work and work-life balance in one of America's most vibrant cities.
Responsibilities
- Monitor and implement compliance policies for FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products
- Prepare and submit regulatory reports to governing bodies
- Train staff on compliance procedures and regulatory updates
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal and audit teams for cross-functional alignment
- Maintain accurate documentation of compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance experience in financial services
- FINRA Series 63, 65, or 86/87 licenses preferred
- Proficiency with compliance management software (e.g., Compliance.ai)
- Strong analytical skills with attention to regulatory nuances
- Excellent written and verbal communication abilities
- Ability to work independently with minimal supervision
- Knowledge of Philadelphia's local regulatory landscape