Job Description
Join our dynamic compliance team in Jersey City, where we provide all necessary equipment to ensure your success! As a Compliance Officer, you'll safeguard our operations against regulatory risks while working with cutting-edge technology. We offer a supportive environment with competitive benefits and professional growth opportunities. Bring your expertise, and we'll handle the rest!
Responsibilities
- Monitor regulatory changes and implement compliance procedures across financial transactions
- Conduct internal audits and risk assessments using provided monitoring tools
- Develop compliance training programs for staff with company-provided resources
- Investigate potential violations and prepare detailed reports using supplied software
- Liaise with regulatory bodies and maintain accurate documentation via provided systems
- Advise management on compliance risks and mitigation strategies
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Proficiency in compliance software (training provided)
- Excellent analytical and reporting skills
- Certifications (CRCM, CAMS) preferred
- Ability to work independently with provided equipment