Job Description
Join our dynamic team as a Compliance Officer in Jersey City, NJ, where you'll be instrumental in safeguarding our organization's regulatory integrity. We offer a collaborative environment with competitive benefits and growth opportunities for driven professionals.
As a key member of our risk management division, you'll develop and implement compliance frameworks, conduct risk assessments, and ensure adherence to federal regulations including FINRA, SEC, and AML guidelines. Your expertise will directly shape our ethical standards and operational excellence.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs aligned with industry regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical standards
- Investigate and resolve compliance violations with appropriate corrective actions
- Prepare detailed compliance reports for senior management and regulatory bodies
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Certified Regulatory Compliance Manager (CRCM) or similar designation
- Excellent analytical and problem-solving skills
- Advanced proficiency in compliance management software
- Proven ability to interpret complex regulatory requirements
- Exceptional communication and stakeholder management abilities