Job Description
Join our dynamic compliance team at Global Financial Services Inc. and play a pivotal role in safeguarding our organization's integrity. As a Compliance Officer, you'll ensure adherence to federal regulations (FINRA, SEC, AML), develop robust compliance frameworks, and conduct thorough risk assessments. This is an opportunity to shape ethical practices while advancing your career in one of New Jersey's thriving financial hubs.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for 500+ employees
- Manage AML/KYC protocols and suspicious activity reporting processes
- Collaborate with legal and audit teams on regulatory examinations
- Document compliance procedures and maintain audit-ready records
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation
- Expert knowledge of FINRA/SEC regulations and AML laws
- Advanced proficiency in compliance software (e.g., ComplyAdvantage, Nasdaq Compliance)
- Strong analytical skills with attention to detail
- Excellent communication and stakeholder management abilities