Job Description
Join our dynamic team in Jersey City as a Compliance Officer and play a pivotal role in safeguarding our organization's integrity. You'll ensure adherence to federal regulations, internal policies, and industry standards while driving a culture of compliance excellence. This is an exceptional opportunity to advance your career in one of the nation's financial hubs with competitive compensation and growth potential.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and AML regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and risk management teams on compliance initiatives
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or CAMS designation preferred
- Expertise in FINRA rules, SEC regulations, and AML/BSA requirements
- Strong analytical skills with attention to detail
- Exceptional written and verbal communication abilities
- Proficiency in compliance management software (e.g., Diligent, MetricStream)