Job Description
Join our dynamic team at Capital Regulatory Partners LLC, a leading financial services firm in the heart of Washington, DC. We're seeking a dedicated Senior Compliance Officer to ensure adherence to federal regulations while driving innovation in compliance frameworks. Enjoy a competitive salary, comprehensive benefits, and opportunities for professional growth in our collaborative, mission-driven environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with SEC, FINRA, and federal regulations
- Conduct risk assessments and internal audits for financial products and services
- Advise senior leadership on regulatory changes affecting capital markets and investment strategies
- Train staff on compliance policies and ethical standards using interactive workshops
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams to ensure cohesive risk management
- Prepare regulatory filings and manage compliance documentation
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 5+ years of compliance experience in financial services or regulatory affairs
- Active CCO (Chief Compliance Officer) or CRCM (Certified Regulatory Compliance Manager) certification
- Deep knowledge of Dodd-Frank, SEC regulations, and FINRA rules
- Exceptional analytical skills with attention to detail
- Strong written and verbal communication skills for stakeholder reporting
- Experience with compliance software (e.g., Diligence, Certent)
- Ability to thrive in fast-paced, regulated environments