Job Description
Join our dynamic team as a Compliance Officer in Newark, NJ, where we provide all necessary equipment to ensure your success! This role offers an exciting opportunity to safeguard regulatory integrity while leveraging cutting-edge tools. Our Newark headquarters offers a collaborative environment with competitive benefits and career growth opportunities.
Responsibilities
- Monitor and ensure adherence to federal, state, and industry regulations
- Develop and implement compliance policies and procedures
- Conduct risk assessments and internal audits
- Prepare detailed compliance reports for executive leadership
- Coordinate with legal and regulatory bodies as required
- Train staff on compliance protocols and best practices
- Investigate and resolve compliance violations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience
- Strong knowledge of FINRA, SEC, and NJ regulations
- Proficient in compliance software and data analysis tools
- Excellent written and verbal communication skills
- Certification (e.g., CCEP, CAMS) preferred
- Ability to work independently and manage multiple projects