Job Description
Join our award-winning financial services firm as a Senior Compliance Officer and lead critical regulatory initiatives in a dynamic, growth-oriented environment. This high-impact role offers unparalleled opportunities to shape compliance frameworks while working with industry leaders. Enjoy competitive compensation, comprehensive benefits, and a culture that values innovation and professional development. Apply today to become part of our elite compliance team dedicated to maintaining ethical standards and regulatory excellence.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to FINRA, SEC, and federal regulations
- Conduct thorough risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with detailed documentation
- Collaborate with legal, operations, and audit teams to ensure cohesive compliance strategies
- Stay current on regulatory changes and update policies accordingly
- Prepare comprehensive reports for senior management and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- FINRA Series 7, 24, 63, and/or CCEP certifications required
- Expert knowledge of AML, KYC, and anti-fraud regulations
- Strong analytical skills with proficiency in compliance software (e.g., ComplyAdvantage, LogicGate)
- Exceptional communication skills for stakeholder training and reporting
- Proven ability to manage complex compliance projects under tight deadlines