Job Description
Join our dynamic compliance team in the heart of Manhattan! Regulatory Solutions Group is urgently seeking a detail-oriented Compliance Officer to navigate complex regulatory landscapes and safeguard our organization's integrity. This high-impact role offers immediate start opportunity and career growth in a fast-paced financial services environment. Work alongside industry leaders while shaping compliance strategies for global operations.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and ensure accurate record-keeping
- Advise stakeholders on regulatory changes and compliance best practices
- Lead training initiatives for staff on compliance protocols
- Manage investigations of potential compliance violations
- Collaborate with legal and audit teams to ensure regulatory adherence
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Deep knowledge of NYDFS Part 500 regulations
- Exceptional analytical and problem-solving abilities
- Strong written communication skills for reporting
- Experience with compliance management software (e.g., MetricStream)
- Proven ability to thrive in deadline-driven environments