Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer and become a guardian of regulatory excellence! We provide all necessary equipment including ergonomic workstations, dual monitors, and specialized compliance software to ensure your success. This role is pivotal in maintaining our adherence to federal regulations while fostering a culture of integrity and innovation. Enjoy comprehensive benefits, professional development opportunities, and a collaborative work environment in Newark's thriving financial district.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, CFTC) to ensure organizational compliance
- Develop and implement internal control procedures and compliance training programs
- Conduct regular audits and risk assessments across all business units
- Prepare detailed compliance reports for executive stakeholders and regulatory bodies
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and operations teams to resolve compliance issues
- Maintain accurate compliance documentation and audit trails
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of SEC regulations and FINRA rules
- Relevant certifications (CRCM, CAMS, CCEP) highly desirable
- Proficient in compliance software (e.g., OnBase, Diligence)
- Exceptional analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Ability to work independently with minimal supervision