Job Description
Join Buffalo's premier financial institution as our next Senior Compliance Officer. We're seeking a regulatory expert to safeguard our operations while driving ethical excellence. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategies in a dynamic market.
Our commitment to innovation extends to our workplace culture. You'll collaborate with cross-functional teams, access cutting-edge compliance technology, and receive professional development opportunities that accelerate your career growth in Buffalo's thriving financial sector.
Responsibilities
- Monitor and ensure adherence to FINRA, SEC, NYDFS, and federal regulations
- Develop, implement, and update compliance policies and procedures
- Conduct risk assessments and internal audits across all business units
- Lead regulatory examinations and prepare responsive documentation
- Design and deliver compliance training programs for staff
- Investigate potential violations and recommend corrective actions
- Stay current with regulatory changes through continuous research
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 licenses required
- Advanced knowledge of AML, BSA, and anti-fraud regulations
- Strong analytical skills with attention to detail
- Experience managing regulatory examinations
- Professional certification (CCEP, CAMS, or CFCP) preferred