Job Description
Join our dynamic team as a Compliance Officer in Newark, NJ! We're seeking a detail-oriented professional to safeguard our organization's integrity in the rapidly evolving financial landscape. You'll be instrumental in ensuring adherence to federal regulations, internal policies, and industry standards while fostering a culture of compliance excellence. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, AML) to update compliance frameworks
- Conduct thorough internal audits and risk assessments across all business units
- Develop and deliver compliance training programs for 200+ employees
- Investigate potential violations and prepare detailed incident reports
- Liaise with legal counsel and regulatory agencies during examinations
- Maintain accurate compliance documentation and reporting systems
- Lead cross-functional initiatives to embed compliance into daily operations
Qualifications
- Bachelor's degree in Finance, Business, or Law; relevant certifications preferred
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA regulations and AML/BSA requirements
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software (e.g., OnBase, Smartsheet)
- Excellent communication skills for training and stakeholder management
- Certifications (CRCM, CAMS) considered significant advantage