Job Description
Join our award-winning financial services firm as a Senior Compliance Officer in Columbus, OH. Lead critical regulatory initiatives and shape our compliance framework while enjoying a competitive compensation package and dynamic work environment. Ideal for professionals with 5+ years of compliance experience in finance or fintech.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with federal regulations (SEC, FINRA, CFPB)
- Conduct high-stakes internal audits and risk assessments across all business units
- Lead regulatory reporting initiatives and respond to examinations by authorities
- Mentor junior compliance staff and design training programs for 200+ employees
- Collaborate with legal and executive teams on strategic compliance initiatives
- Monitor industry trends and emerging regulations to ensure proactive compliance
Qualifications
- Bachelor's degree in Finance, Law, or related field; Master's or JD preferred
- 5+ years of compliance experience in financial services or fintech
- Certification (CRCM, CAMS, CCEP) or willingness to obtain within 6 months
- Expert knowledge of FINRA rules, SEC regulations, and AML/BSA requirements
- Proven track record of leading complex compliance investigations
- Exceptional analytical skills with attention to regulatory nuances
- Strong experience with compliance management software (e.g., MetricStream, RSA Archer)