Compliance Officer- Hybrid

Compliance Officer

Job Summary: The Compliance Officer will ensure that the company operates within the regulatory framework and adheres to legal and ethical standards. This role involves developing, implementing, and monitoring compliance programs, conducting audits, and providing guidance to management and employees.

Key Responsibilities:

• Develop and maintain compliance policies and procedures to ensure adherence to regulatory requirements.
• Monitor and assess the company’s compliance with laws, regulations, and internal policies.
• Conduct regular compliance audits and risk assessments to identify potential areas of non-compliance.
• Provide training and education to employees on compliance-related topics.
• Investigate compliance violations and implement corrective actions as needed.
• Liaise with regulatory bodies and maintain up-to-date knowledge of regulatory changes.
• Prepare and submit reports to regulatory authorities as required.
• Advise management on compliance risks and recommend appropriate measures to mitigate them.

Qualifications:

• Bachelor’s degree in Law, Business, Finance, or related field.
• 4-10 years of experience in compliance, preferably in the financial services industry.
• Strong knowledge of regulatory requirements (e.g., SEC, FINRA) and compliance best practices.
• Excellent analytical, problem-solving, and communication skills.
• Ability to interpret complex regulations and provide practical compliance solutions.
• Detail-oriented with strong organizational skills.
• Professional certifications such as CRCM, CAMS, or CCEP are a plus.