Senior Compliance Officer

Our client, a well-established financial services firm, is seeking a highly experienced Senior Compliance Officer to join their dedicated team in Philadelphia, Pennsylvania, US . This on-site position is vital for ensuring the organization adheres to all relevant laws, regulations, and internal policies. The ideal candidate will possess extensive knowledge of financial compliance, regulatory affairs, and risk management.

As a Senior Compliance Officer, you will be instrumental in developing, implementing, and maintaining the firm's compliance programs. Your responsibilities will include conducting internal investigations, performing risk assessments, developing compliance training materials, and advising business units on regulatory requirements. You will work closely with internal audit, legal departments, and external regulators to uphold the highest standards of ethical conduct and regulatory adherence. This role requires meticulous attention to detail and a proactive approach to identifying and mitigating compliance risks.

Key Responsibilities: Develop, implement, and manage comprehensive compliance programs and policies. Monitor adherence to all applicable laws, regulations, and industry standards (e.g., SEC, FINRA, AML, BSA). Conduct regular compliance risk assessments and internal audits to identify potential weaknesses. Investigate potential compliance violations and recommend corrective actions. Develop and deliver effective compliance training to employees across all levels. Advise business units on compliance-related matters and provide guidance on regulatory changes. Prepare and file regulatory reports and ensure timely submission. Liaise with regulatory bodies, auditors, and external counsel on compliance matters. Maintain up-to-date knowledge of the evolving regulatory landscape. Promote a strong culture of compliance throughout the organization. Qualifications: Bachelor's degree in Law, Finance, Business Administration, or a related field. 5+ years of experience in a compliance role within the financial services industry. In-depth knowledge of relevant regulatory frameworks (e.g., SEC, FINRA, AML, KYC). Proven experience in developing and implementing compliance policies and procedures. Strong analytical and problem-solving skills, with meticulous attention to detail. Excellent written and verbal communication skills. Ability to conduct investigations and present findings clearly. Experience in developing and delivering training programs. Ability to work independently and manage multiple priorities effectively. Relevant professional certifications (e.g., CRCP, CAMS) are a plus. This is an excellent opportunity to contribute significantly to the integrity and success of a reputable financial institution.