Compliance Officer: Regulatory Risk & Policy Champion

TEEMA Solutions Group; New York (NY); On-site; USD 140,000 - 185,000; Full time

Job summary

A financial services firm is looking for a Compliance Officer in New York City. The role focuses on overseeing trading and investment operations to ensure compliance with regulations. Candidates should have a Bachelor's degree in Finance or related fields, strong knowledge of financial regulations, and experience in compliance or audit roles. This position offers a competitive salary ranging from $140,000 to $185,000 annually, with opportunities for professional growth and development within the firm.

Qualifications

• Bachelor's degree; advanced degrees or certifications like CAMS, CRCM preferred.
• Experience in compliance or audit in financial services is a plus.
• Ability to identify compliance risks and work in regulated environments.

Responsibilities

• Monitor trading and investment activities for compliance.
• Develop and maintain compliance policies and procedures.
• Conduct regular risk assessments and support audits.

Skills

Strong knowledge of financial regulations

Analytical skills

Excellent written and verbal communication skills

Proficiency in Excel

Education

Bachelor’s degree in Finance, Law, Accounting, Business, or a related field

Tools

Compliance software

Job description

A financial services firm is looking for a Compliance Officer in New York City. The role focuses on overseeing trading and investment operations to ensure compliance with regulations. Candidates should have a Bachelor's degree in Finance or related fields, strong knowledge of financial regulations, and experience in compliance or audit roles. This position offers a competitive salary ranging from $140,000 to $185,000 annually, with opportunities for professional growth and development within the firm.