Job Description
Join our award-winning compliance team at Global Financial Services in Jersey City, NJ, where you'll safeguard regulatory integrity and drive ethical excellence. As a key member of our dynamic financial services firm, you'll implement robust compliance frameworks while collaborating with cross-functional teams to navigate complex regulatory landscapes. Enjoy competitive benefits, career growth opportunities, and the vibrant energy of Jersey City's thriving business district.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Investigate and resolve regulatory inquiries, examinations, and enforcement actions
- Deliver targeted compliance training to staff across all business units
- Prepare detailed regulatory reports and disclosures for senior leadership
- Stay current on evolving financial regulations through continuous research
- Collaborate with legal and risk management teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- FINRA Series 7, 24, or 63 licenses required
- Expert knowledge of FINRA, SEC, and AML regulations
- Strong analytical skills with attention to detail and accuracy
- Excellent written communication for policy development and reporting
- Proven ability to manage multiple projects with competing deadlines
- Certification (CRCM, CAMS) strongly preferred