Job Description
Join our prestigious financial services firm in Philadelphia and lead critical compliance initiatives. We offer a competitive compensation package, comprehensive benefits, and opportunities for career advancement in a dynamic, growth-oriented environment. As a key member of our risk management team, you'll shape our compliance framework while enjoying work-life balance and professional development resources.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and state regulations
- Conduct risk assessments and internal audits for financial products and services
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Prepare regulatory reports and maintain audit documentation
- Collaborate with legal and business units on compliance strategies
- Stay current on industry regulations (e.g., AML, Dodd-Frank)
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services
- FINRA Series 24 or 26 certification required
- Expert knowledge of federal/state financial regulations
- Strong analytical and investigative skills
- Experience with GRC software (e.g., RSA Archer, LogicGate)
- Proven ability to translate complex regulations into actionable policies
- Excellent written/verbal communication skills