Job Description
Join our dynamic compliance team at Global Financial Services in Jersey City, where we prioritize regulatory excellence and employee support. As a Compliance Officer, you'll ensure adherence to federal and state regulations while maintaining the highest ethical standards. Equipment provided includes state-of-the-art monitoring tools, secure workstations, and ergonomic accessories to maximize your productivity. We offer a collaborative environment with professional development opportunities and competitive benefits.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and NJ regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain accurate documentation
- Train staff on compliance policies and procedures
- Stay updated on regulatory changes and advise leadership on implications
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63, 65, or 99 licenses required
- Strong knowledge of NJ financial regulations
- Proficiency with compliance software (e.g., OnBase, Compliance.ai)
- Excellent analytical and communication skills
- Ability to manage multiple priorities in a fast-paced environment