Job Description
About Us: At Metro Financial Group, we are a leading fintech institution dedicated to delivering innovative financial solutions while maintaining the highest standards of integrity and regulatory adherence. We are currently seeking a highly skilled Senior Compliance Officer to join our dynamic team in Philadelphia. This is an exceptional opportunity for a detail-oriented professional to shape our compliance framework and drive our mission forward.
Why Join Us?
• Competitive salary and comprehensive benefits package.
• Work in a collaborative environment focused on professional growth and development.
• Impact the future of financial compliance in the Delaware Valley.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program to ensure adherence to federal, state, and local regulations, including SEC, FINRA, and state securities laws.
- Conduct regular internal audits and risk assessments to identify potential compliance vulnerabilities and recommend corrective actions.
- Oversee the preparation and submission of required regulatory reports and filings in a timely and accurate manner.
- Provide expert guidance to senior management and operational staff on complex regulatory issues and compliance best practices.
- Manage the compliance training program, ensuring all employees receive up-to-date education on policies and regulatory changes.
- Investigate and resolve internal compliance concerns, ensuring thorough documentation and follow-up.
- Stay abreast of emerging regulatory trends and industry changes to proactively adapt the company's compliance strategy.
Qualifications
- Bachelor’s degree in Law, Finance, Business Administration, or a related field required; Master’s degree or Juris Doctor (JD) is a strong plus.
- Minimum of 5-7 years of experience in compliance, risk management, or legal compliance within the financial services industry.
- Strong knowledge of SEC regulations, FINRA rules, AML (Anti-Money Laundering) policies, and KYC (Know Your Customer) procedures.
- Certification such as CFA, CPA, CAMS, or CFP is highly preferred.
- Excellent analytical, problem-solving, and communication skills with the ability to articulate complex regulatory concepts.
- Detail-oriented with strong organizational skills and the ability to manage multiple priorities effectively.
- Experience in a supervisory or lead role within a compliance department.