Job Description
Join our dynamic team as a Compliance Officer in Philadelphia and become a guardian of regulatory excellence. We're urgently seeking a detail-oriented professional to ensure adherence to federal regulations, internal policies, and industry standards. This high-impact role offers competitive compensation, comprehensive benefits, and the opportunity to shape our compliance framework in a growing financial services organization.
Responsibilities
- Monitor and interpret evolving regulatory requirements (FINRA, SEC, OCC)
- Conduct internal audits and compliance assessments across departments
- Develop and implement compliance training programs for 200+ employees
- Investigate and resolve compliance violations with corrective action plans
- Collaborate with legal counsel on regulatory filings and reporting
- Lead AML/BSA monitoring and suspicious activity reporting initiatives
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 5+ years compliance experience in financial services
- FINRA Series 24/26 or CCEP certification required
- Proficiency with compliance software (e.g., Wolters Kluwer, ComplyAdvantage)
- Strong analytical and investigative skills
- Excellent written/verbal communication abilities
- Experience with SOX 404 and internal controls frameworks