Job Description
We are seeking a highly skilled Senior Compliance Officer to oversee our regulatory frameworks in the heart of Philadelphia. This is a high-impact role offering a competitive compensation package and the opportunity to lead a dynamic team in a prestigious financial environment.
Why Apply?
We offer a comprehensive benefits package, including health, dental, vision, and a 401(k) matching program. Join a company that values integrity and rewards excellence.
Key Responsibilities:
- Develop, implement, and maintain a comprehensive compliance program to ensure adherence to federal and state regulations.
- Conduct regular internal audits and risk assessments to identify vulnerabilities and recommend corrective actions.
- Monitor changes in regulatory laws and industry standards to ensure our policies remain up-to-date.
- Lead training sessions for staff on compliance protocols, ethics, and anti-money laundering (AML) procedures.
- Prepare detailed reports for the Board of Directors and regulatory bodies.
- Investigate potential violations and enforce disciplinary actions when necessary.
Qualifications:
- Bachelor’s degree in Law, Finance, Business Administration, or a related field.
- 3-5 years of experience in compliance, risk management, or a related financial role.
- Strong knowledge of SEC regulations, FINRA rules, and state banking laws.
- Certification such as CFE, CAMS, or CRCM is highly preferred.
- Exceptional attention to detail and strong analytical skills.
- Excellent communication and interpersonal abilities.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program to ensure adherence to federal and state regulations.
- Conduct regular internal audits and risk assessments to identify vulnerabilities and recommend corrective actions.
- Monitor changes in regulatory laws and industry standards to ensure our policies remain up-to-date.
- Lead training sessions for staff on compliance protocols, ethics, and anti-money laundering (AML) procedures.
- Prepare detailed reports for the Board of Directors and regulatory bodies.
- Investigate potential violations and enforce disciplinary actions when necessary.
Qualifications
- Bachelor’s degree in Law, Finance, Business Administration, or a related field.
- 3-5 years of experience in compliance, risk management, or a related financial role.
- Strong knowledge of SEC regulations, FINRA rules, and state banking laws.
- Certification such as CFE, CAMS, or CRCM is highly preferred.
- Exceptional attention to detail and strong analytical skills.
- Excellent communication and interpersonal abilities.