Job Description
Join our elite compliance team in Philadelphia and lead critical regulatory initiatives. We're seeking a Senior Compliance Officer to design and implement robust compliance frameworks for our financial services operations. This high-impact role offers unparalleled career growth and industry recognition.
Enjoy a dynamic work environment with competitive compensation, comprehensive benefits, and opportunities for professional development. If you're passionate about regulatory excellence and want to make a tangible impact, apply now to join our award-winning compliance division.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with federal regulations (SEC, FINRA, CFPB)
- Conduct risk assessments and internal audits to identify compliance gaps
- Lead investigations into regulatory violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Train staff on regulatory requirements and ethical standards
- Monitor regulatory changes and update policies accordingly
- Prepare detailed compliance reports for board and regulatory bodies
- Manage vendor compliance and third-party risk assessments
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services
- Deep expertise in SEC, FINRA, AML, and consumer protection regulations
- Strong analytical skills with attention to regulatory nuances
- Experience leading compliance teams and managing complex projects
- Certifications such as CCEP, CRCM, or CAMS required
- Proficiency in compliance management software (e.g., RSA Archer, LogicGate)
- Excellent communication skills for stakeholder engagement