Job Description
Join our dynamic compliance team at Global Financial Solutions in Jersey City, NJ! We're seeking a meticulous Compliance Officer to safeguard our regulatory integrity and drive ethical excellence in the financial services sector. This pivotal role combines strategic oversight with hands-on execution to ensure adherence to FINRA, SEC, and federal regulations. You'll collaborate with cross-functional teams to implement robust compliance frameworks, conduct risk assessments, and deliver actionable insights that protect our organization and clients. Enjoy a hybrid work model with competitive benefits and career growth opportunities in one of America's premier financial hubs.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, AML, CFTC) to update compliance policies
- Conduct regular internal audits and risk assessments across trading operations
- Develop and deliver compliance training programs for 200+ employees
- Investigate potential violations and prepare detailed regulatory reports
- Collaborate with legal team on regulatory submissions and enforcement responses
- Lead compliance initiatives for new product launches and market expansions
- Maintain comprehensive audit trails and documentation for regulatory reviews
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or fintech
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep expertise in FINRA rules, SEC regulations, and AML protocols
- Proven ability to interpret complex regulatory frameworks and implement controls
- Advanced analytical skills with proficiency in compliance monitoring tools
- Exceptional written/verbal communication for stakeholder reporting
- Experience leading cross-functional compliance projects and training programs