Job Description
Join our dynamic team as a Compliance Officer and enjoy the unique benefit of weekly pay in Jersey City's thriving financial hub. We're seeking a detail-oriented professional to ensure regulatory adherence and foster a culture of compliance excellence. This role offers competitive compensation, career growth opportunities, and the stability of a leading financial services firm.
Responsibilities
- Monitor and interpret regulatory changes (FINRA, SEC, NYSE) to update compliance policies
- Conduct internal audits and risk assessments across trading and advisory operations
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve regulatory inquiries and customer complaints
- Prepare and submit regulatory filings and disclosures
- Collaborate with legal and audit teams to implement corrective actions
Qualifications
- Bachelor's degree in Finance, Business, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services
- FINRA Series 24, 26, or 27 certification required
- Advanced knowledge of SEC regulations and FINRA rules
- Proficient in compliance software (e.g., Compliance.ai, Diligent)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities