Job Description
Are you an experienced Compliance Officer looking for high-paying opportunities in a dynamic financial hub? Newark Financial Group is seeking a dedicated Compliance Manager to lead our regulatory framework and ensure operational integrity.
In this pivotal role, you will oversee our anti-money laundering (AML) protocols, ensure adherence to SEC and FINRA regulations, and foster a culture of compliance across all departments. We offer a competitive salary package, comprehensive benefits, and a collaborative environment where your expertise directly impacts our success.
Responsibilities
- Develop and maintain comprehensive compliance programs and policies that align with federal and state regulations.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in our processes.
- Monitor and report on regulatory changes to ensure the company remains compliant with evolving laws.
- Lead training sessions for staff on compliance standards, ethical practices, and risk management.
- Investigate and resolve compliance violations, including preparing necessary documentation for regulatory bodies.
- Collaborate with legal and operations teams to implement effective risk mitigation strategies.
Qualifications
- Minimum of 5 years of experience in compliance, risk management, or internal auditing within the financial services sector.
- Bachelor’s degree in Finance, Law, or a related field (Master’s degree preferred).
- Professional certifications such as CFE, CAMS, or CRCM are highly desirable.
- Strong working knowledge of AML/KYC regulations, SEC rules, and Sarbanes-Oxley Act.
- Exceptional analytical skills with the ability to interpret complex regulations and apply them practically.
- Excellent verbal and written communication skills for reporting and training.