Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. and play a pivotal role in safeguarding our organization's integrity. As a Compliance Officer, you'll ensure adherence to federal regulations, internal policies, and industry standards while driving ethical business practices. We offer a collaborative environment with opportunities for professional growth and industry-competitive benefits. If you're passionate about regulatory excellence and want to make a tangible impact, apply today to join our Newark-based team.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve regulatory inquiries, examinations, and enforcement actions
- Deliver targeted compliance training to staff across departments
- Monitor legislative changes and update policies accordingly
- Collaborate with legal and senior leadership on compliance strategy
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- FINRA Series 24, 26, or 27 certification required
- Deep knowledge of AML, KYC, and anti-fraud regulations
- Exceptional analytical and problem-solving skills
- Strong written and verbal communication abilities
- Proficiency with compliance management software (e.g., ComplyAdvantage)
- Experience managing compliance audits and examinations