Job Description
Join our dynamic team as a Senior Compliance Officer in Pittsburgh, PA, where you'll drive regulatory excellence and safeguard our organization's integrity. We're seeking a proactive professional to navigate complex financial regulations and implement robust compliance frameworks. Enjoy a competitive salary, comprehensive benefits package, and opportunities for career growth in a thriving metropolitan hub.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits for financial products and services
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Liaise with regulatory bodies during examinations and inquiries
- Stay current with evolving financial regulations (e.g., Dodd-Frank, AML)
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 63/65/66 licenses or equivalent regulatory knowledge
- Expertise in risk management frameworks and internal controls
- Strong analytical skills with attention to regulatory details
- Experience with compliance software (e.g., Certify, OnBase)
- Excellent communication and stakeholder management abilities
- Proven track record of regulatory examination success