Job Description
We're urgently seeking a dynamic Compliance Officer to join our award-winning financial services team in New York City. This critical role offers an immediate start date with a competitive compensation package including comprehensive benefits, performance bonuses, and career advancement opportunities.
As a key member of our risk management division, you'll ensure regulatory adherence across all business operations while shaping our compliance framework in a fast-paced, high-stakes environment. This is your chance to make a tangible impact at a company recognized for ethical excellence and industry innovation.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and provide actionable guidance to business units
- Lead investigations of potential violations and recommend corrective actions
- Design and deliver compliance training programs for staff at all levels
- Collaborate with legal and audit teams to ensure cohesive risk management
- Prepare regulatory reports and maintain compliance documentation
Qualifications
- Bachelor's degree in Finance, Law, Business Administration or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state financial regulations (AML, KYC, Dodd-Frank)
- Professional certification (CCEP, CAMS, CRCM) or willingness to obtain
- Exceptional analytical and problem-solving abilities
- Proven experience with compliance management software
- Excellent written/verbal communication skills
- Ability to thrive in deadline-driven environments