Job Description
Join our award-winning compliance team as a Senior Compliance Officer where you'll drive regulatory excellence and safeguard our organization's integrity. We offer a competitive compensation package, comprehensive benefits, and unparalleled growth opportunities in Cincinnati's thriving financial district. Be part of a forward-thinking company that values innovation and professional development.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance initiatives
- Prepare detailed reports for senior leadership and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expert knowledge of FINRA, SEC, and AML regulations
- Strong analytical and problem-solving abilities
- Exceptional written and verbal communication skills
- Experience with compliance software and data analytics tools