Job Description
Join our elite compliance team immediately! We're seeking a dynamic Compliance Officer to safeguard our financial operations in the heart of NYC. This urgent opening offers rapid career growth and direct impact on regulatory strategy. Benefit from comprehensive benefits, hybrid work options, and industry-leading training. Apply today to become part of our award-winning compliance division.
Responsibilities
- Develop and implement internal controls to ensure adherence to federal/state regulations (FINRA, SEC, NYDFS)
- Conduct risk assessments and remediation plans for financial transactions
- Manage AML/KYC procedures and BSA compliance monitoring
- Coordinate with legal teams on regulatory changes and policy updates
- Lead internal audits and prepare regulatory examinations
- Train staff on compliance protocols and ethical standards
- Report to Chief Compliance Officer on emerging risks
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- FINRA Series 24/26 or NYDFS certifications
- Expert knowledge of federal banking regulations
- Strong analytical and problem-solving abilities
- Experience with RegTech compliance tools (e.g., ComplyAdvantage)
- Exceptional communication and presentation skills