Job Description
Join our dynamic team as a Compliance Officer in Philadelphia and become a guardian of regulatory excellence! This urgent opening offers a chance to shape compliance frameworks in a fast-paced financial environment. We're seeking a detail-oriented professional to ensure adherence to federal, state, and industry regulations while driving ethical business practices. Enjoy competitive compensation, comprehensive benefits, and career growth in one of America's most vibrant cities. Apply today to make an immediate impact!
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments across departments
- Investigate potential violations and recommend corrective actions
- Develop and deliver compliance training programs for staff
- Liaise with regulators during examinations and inquiries
- Maintain accurate compliance documentation and reporting
- Advise senior leadership on emerging compliance risks
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Deep knowledge of FINRA, SEC, and AML regulations
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Certified Compliance & Ethics Professional (CCEP) certification required
- Experience with compliance software and data analysis tools