Job Description
Join our dynamic team as a Compliance Officer in Jersey City, NJ, where you'll safeguard our organization's integrity while shaping the future of financial compliance. We offer a collaborative environment, competitive benefits, and opportunities for professional growth in one of America's most vibrant financial hubs.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and compliance protocols
- Stay current on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications required
- Deep knowledge of SEC, FINRA, and AML regulations
- Strong analytical skills with attention to detail
- Experience with compliance management software (e.g., OnBase, Actimize)
- Excellent written and verbal communication skills