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Our growing firm is looking for a Compliance Officer to assist in protecting the firm by ensuring we stay compliant. This role will oversee the development, implementation, and maintenance of a compliance program designed to ensure each of our functional areas adheres to the rules and regulation set by federal and state regulators. The successful candidate will be expected to prevent improper conduct of vendors, employees, and partners, and proactively reduce compliance risks to keep our organization aligned with ethical standards and industry regulations.

Typical Duties and Responsibilities

  • Develop, implement, and enforce policies and procedures to ensure compliance with industry and government regulations
  • Conduct risk assessments to recognize areas where the company might be vulnerable to non-compliance
  • Troubleshoot malfunctions and user issues through diligent maintenance and monitoring of the system
  • Reply to user requests and queries following standard processes set by the company
  • Secure the organization’s computer systems through meticulous monitoring
  • Establish, review, and monitor internal controls for ensuring compliance
  • Work with other departments, including legal, human resource, and finance, to ensure compliance across the organization
  • Coordinate with the IT team to ensure the production schedule remains on track at all times
  • Maintain control services and logs that support computer system activity
  • Develop and maintain a resource library which includes copies of regulations and interpretations
  • Stay current with industry laws, regulations, and interpretations, and disseminate information regarding new or amended regulations to appropriate personnel

Education

  • Bachelor’s degree in finance, law, business administration, or a related field

Required Skills and Experience

  • 3+ years of experience in compliance and risk management
  • Experience conducting audits and investigations
  • Experience with developing and executing compliance management techniques
  • Experience working with highly confidential information 
  • Experience supervising and training other team members 
  • Thorough knowledge of industry standards, laws, and regulations
  • Knowledge of financial crime and anti-money laundering regulations
  • Proficiency with Microsoft Office
  • Excellent communication and analytical skills
  • Strong attention to detail 

Preferred Qualifications

  • CFE or CAMS certification