Job Description
Join our dynamic compliance team at Regulatory Solutions Group, where we're revolutionizing regulatory adherence in the financial services sector. As a Compliance Officer, you'll be pivotal in ensuring our operations meet federal and state regulations while driving ethical standards. Enjoy a collaborative environment with competitive benefits, professional development opportunities, and the chance to make a tangible impact in a growing industry.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, State Banking Laws) to update compliance frameworks
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and implement compliance policies, procedures, and training programs
- Investigate potential violations and prepare regulatory reporting documentation
- Collaborate with legal, risk management, and business units on compliance initiatives
- Manage compliance documentation and maintain audit trails
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and Pennsylvania banking regulations
- Certified Regulatory Compliance Manager (CRCM) designation required
- Exceptional analytical and problem-solving abilities
- Experience with compliance management software (e.g., OnBase, MetricStream)
- Excellent written/verbal communication and presentation skills