Job Description
Join Capital Financial Group's elite compliance team as a Senior Compliance Officer in Buffalo, NY. We're seeking a detail-oriented professional to safeguard our financial operations while driving regulatory excellence. This high-impact role offers competitive compensation, comprehensive benefits, and opportunities for career advancement in a dynamic financial services environment.
Responsibilities
- Develop and implement robust compliance programs aligned with federal regulations (FINRA, SEC, NYDFS)
- Conduct risk assessments and internal audits for banking, securities, and fintech operations
- Investigate and resolve regulatory violations with corrective action plans
- Train staff on compliance policies and emerging regulatory requirements
- Prepare regulatory filings and maintain accurate compliance documentation
- Collaborate with legal and audit teams on cross-functional compliance initiatives
- Monitor regulatory changes and advise leadership on compliance implications
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or similar designation
- Expert knowledge of banking regulations (Regulations CC, E, Z, O) and AML laws
- Advanced proficiency in compliance software (e.g., ComplySci, MetricStream)
- Strong analytical skills with ability to interpret complex regulations
- Excellent written/verbal communication and stakeholder management abilities