Risk & Compliance Specialist

What You'll Do

Position Overview

The Risk & Compliance Specialist supports the development, implementation, and ongoing management of the firm’s risk management and compliance programs. This role is responsible for helping ensure compliance with applicable regulatory requirements and internal policies, while proactively identifying, assessing, and mitigating risks that could impact the firm. The ideal candidate is detail-oriented, analytical, and comfortable collaborating across departments and with external stakeholders.

Shape

Key Responsibilities

Risk Management

• Identify, assess, and prioritize organizational risks across business functions.
• Assist in the development and implementation of risk management frameworks and mitigation strategies.
• Monitor and analyze risk trends and prepare regular reporting for senior leadership.
• Conduct risk assessments and internal audits to evaluate the effectiveness of existing controls.
• Collaborate with cross-functional teams to promote a consistent and integrated approach to risk management.
  
  

Compliance & CPE Monitoring

• Support firm-wide compliance with applicable laws, regulations, and internal policies.
• Develop, implement, and maintain compliance-related policies and procedures.
• Conduct periodic compliance reviews and audits, including CPE compliance monitoring.
• Provide guidance and training to employees on compliance requirements and best practices.
• Stay current on regulatory changes and industry standards, including those issued by the AICPA, PCAOB, SEC, and State Boards of Accountancy.
  
  

Reporting & Documentation

• Prepare and maintain risk and compliance documentation for PCAOB inspections, Peer Review, and internal reporting.
• Maintain comprehensive records of risk assessments, compliance reviews, and corrective actions.
• Track and document compliance-related activities, issues, and resolutions.
  
  

Policy Development & Systems Support

• Assist with drafting, reviewing, and updating firm policies and procedures to address identified risks and compliance requirements.
• Monitor policy implementation and provide ongoing support to ensure effectiveness.
• Manage and maintain the Legal intranet page.
• Support the Legal team with the creation and administration of Microsoft Forms and related tools.
  
  

Stakeholder Communication & Support

• Support the Legal Counsel and Learning & Development teams on compliance and risk-related initiatives.
• Support and collaborate with the Risk & Compliance Senior Manager on the development and execution of risk management and compliance programs.
• Serve as a liaison with external regulators and oversight bodies, as needed.
• Communicate compliance issues, including CPE deficiencies and CPA license renewal matters, to appropriate stakeholders in a clear and timely manner.
• Assist employees at all levels with understanding and fulfilling risk and compliance requirements.
  
  

Qualifications

Who You Are

• Bachelor’s degree required.
• 0-2 years of experience.
• Knowledge of regulatory requirements and accounting industry standards (AICPA, PCAOB, SEC, State Boards of Accountancy) preferred.
• Strong analytical, problem-solving, and organizational skills with exceptional attention to detail.
• Excellent written and verbal communication skills.
• Proficiency in Microsoft Office applications.
• Ability to manage multiple priorities and deadlines in a fast-paced environment.
• Demonstrated ability to work collaboratively with diverse teams and stakeholders.
  
  

Who We Are



Sure, we like numbers. (But we’ll never treat you like one.)

At Cohen & Co Our Foundational Principles Offer Insight Into How We Achieve An Inclusive, Growth-oriented Culture That Fuels The Success Of Our Firm, Our Clients And Our People. In Particular, We Honor Our Foundational Principle Of “great People First” By

• Championing the importance of diversity, equity and inclusion by embracing the unique stories, backgrounds, perspectives and ideas that come from our people; and
• Offering a comprehensive and competitive Total Rewards package, which allows each employee to use the benefits that best suits their needs. Our offerings go beyond standard options, including time off outside of your standard PTO to give back to the community, annual discretionary merit increases and bonuses, talent development resources to tap into growth opportunities, and so much more! 
  
  

Learn More About Us!

• Discover our Passion, Purpose & Expertise
• Learn more about our Firm's culture
  
  

Estimated Base Range: $55,000 - $65,000*

• Base compensation offered to candidates are determined based on factors such as candidate's relevant skillset, experience, licensure, and certifications, as well as job responsibilities, geography, market considerations, and organizational needs. At Cohen & Co, we don't stop at setting ourselves apart by offering competitive base compensation. As part of our 'great people first' foundational principle, our firm offers a comprehensive and competitive Total Rewards package that allows each employee to design a package that best suits their needs and goes beyond standard options, including time off outside of your standard PTO to recharge and give back to the community, annual discretionary merit increases and bonuses, talent development resources to tap into growth opportunities.
  
  

We are an equal opportunity employer and value diversity of thought and background to build an inclusive and energized culture and better meet the needs of our clients.

Agency recruiters may not submit unsolicited candidate information or resumes to any Cohen & Co employee without a recruiting services contract first being entered into with the Cohen & Co Talent Acquisition Team; see policy here.