Senior Compliance Officer

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timePosted 11 days ago location United States salarySalary undisclosed
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Job Description

A boutique bank in NYC is searching for a Compliance Officer to develop and establish company policies associated with the firm's privacy, records management, and regulatory compliance initiatives. This role will also oversee compliance with, and investigating violations of, federal and state privacy laws as well as regulatory examinations.

The firm is looking for a disciplined, passionate, and motivated individual ready to be a part of the developing team.

Responsibilities:

  • Developing and providing privacy protection protocols and best practices
  • Management of a growing compliance team and direct oversight of the daily compliance duties for the firm's compliance program
  • Promote an organizational culture of compliance and ethics, including promoting the anonymous and retaliation-free reporting of potential compliance issues.
  • Respond to and address issues from regulatory agencies.
  • Conduct independent investigations of reported violations of federal and state privacy law violations.

Minimum qualifications:

  • Demonstrated ability to build and implement compliance programs.
  • Series 7 & Series 24.
  • Bachelor's degree or 10+ years of experience with a concentration in investment banking.
  • A genuine passion for compliance, educating, and leading.