Job Description
Join our elite compliance team at Global Financial Solutions, a leading financial institution headquartered in the heart of Philadelphia. We're seeking a highly motivated Senior Compliance Officer to drive regulatory excellence in a dynamic, high-stakes environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework while advancing your career in one of America's most vibrant financial hubs.
Responsibilities
- Develop, implement, and monitor compliance programs to ensure adherence to federal regulations (SEC, FINRA, CFTC) and state-specific requirements
- Conduct risk assessments and internal audits to identify compliance gaps and implement corrective actions
- Provide expert guidance to senior leadership on regulatory changes and their strategic implications
- Train staff on compliance policies, procedures, and ethical standards
- Manage regulatory reporting relationships with federal and state authorities
- Lead investigations into potential violations and recommend remediation strategies
- Collaborate with legal, risk, and business units to embed compliance into operations
Qualifications
- Bachelor's degree in Finance, Law, Business Administration, or related field (Master's preferred)
- 7+ years of compliance experience in financial services or regulated industries
- Deep expertise in SEC, FINRA, and federal/state regulatory frameworks
- Strong analytical skills with ability to interpret complex regulations
- Professional certifications (CAMS, CRCM, CCEP) highly valued
- Proven track record in developing compliance programs and controls
- Exceptional communication skills with ability to present to executive leadership
- Experience with compliance management systems (e.g., Diligence, MetricStream)