Job Description
Join our dynamic compliance team at Global Financial Services Inc. as a Compliance Officer in Newark, NJ. You'll safeguard our organization by ensuring adherence to federal and state regulations, driving ethical standards, and mitigating financial risks. This pivotal role offers growth opportunities in a fast-paced financial services environment.
Responsibilities
- Monitor regulatory changes (AML, BSA, Dodd-Frank) and implement compliance protocols
- Conduct internal audits and risk assessments across business units
- Develop and maintain compliance policies/procedures documentation
- Investigate potential violations and recommend corrective actions
- Train staff on regulatory requirements and ethical conduct
- Prepare comprehensive reports for senior management and regulators
- Collaborate with legal, audit, and business departments
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Strong knowledge of FINRA, SEC, and NJ state regulations
- Certified Compliance & Ethics Professional (CCEP) certification
- Advanced analytical and investigative skills
- Exceptional written/verbal communication abilities
- Proficiency in compliance management software (e.g., NICE Actimize)