Job Summary
We are seeking a dedicated and detail-oriented Compliance Officer to join our team. This pivotal role involves overseeing the SEC securities-related activities, including communication, trading, investing, and public offerings.
The ideal candidate will possess a strong background in technical accounting, internal audits, and fraud prevention detection, with a focus on maintaining the integrity of our financial operations. This position is essential for safeguarding our organization against compliance risks and fostering a culture of accountability.
Follow other SEC rules, such as:
- The Best Interest (Reg BI) Amendment, which requires broker-dealers to record interactions with retail customers.
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Marketing rules, which require financial firms to keep records of advertisements and promotions for at least five years.
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Rule 204-2(a)(7), which requires registered persons to keep records of communications related to recommendations, funds, and securities
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Store records in a non-alterable format, such as WORM (write once, read many).
Responsibilities:
- Develop, implement, and maintain compliance programs that align with regulatory requirements including TILA and SOX.
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Conduct regular internal audits to assess compliance with established policies and procedures.
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Monitor financial software systems for compliance issues and ensure accurate reporting.
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Collaborate with corporate accounting teams to ensure adherence to accounting standards and practices.
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Identify potential areas of risk related to fraud prevention detection and recommend corrective actions.
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Prepare detailed reports on compliance findings and present them to senior management.
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Stay updated on changes in regulations affecting the organization and communicate these changes effectively.
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Provide training and guidance to staff on compliance-related matters.
Qualifications:
- Bachelor's degree in Accounting, Finance, or a related field; advanced degree or certification (CPA, CIA) is preferred.
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Proven experience in compliance management, corporate accounting, or public accounting roles.
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Strong knowledge of technical accounting principles and financial regulations.
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Familiarity with internal audit processes and fraud prevention detection strategies.
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Excellent analytical skills with attention to detail.
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Strong communication skills, both verbal and written, with the ability to present complex information clearly.
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Ability to work independently as well as collaboratively within a team environment.
We encourage all qualified candidates who meet these criteria to apply for this impactful role within our organization.
Job Type: Full-time
Pay: $85,000.00 - $150,000.00 per year
Benefits:
- Dental insurance
- Health insurance
Schedule:
- 8 hour shift
- Monday to Friday
