Job Description
We are seeking a highly skilled and detail-oriented Compliance Officer to join our dynamic team in Newark, New Jersey. In this pivotal role, you will be responsible for ensuring that our organization adheres to all applicable laws, regulations, and internal policies. If you have a passion for integrity, risk management, and regulatory frameworks, we want to hear from you.
This is an opportunity to work in a fast-paced financial environment where your expertise will directly influence our operational success and reputation.
Responsibilities
- Monitor Compliance: Oversee daily operations to ensure strict adherence to federal and state regulations, including SEC, FINRA, and OFAC guidelines.
- Risk Assessment: Conduct comprehensive internal audits and risk assessments to identify potential vulnerabilities in our compliance programs.
- Policy Development: Develop, update, and implement internal compliance policies and procedures to mitigate risk.
- Training & Education: Create and deliver compliance training sessions to educate staff on regulatory changes and best practices.
- Investigations: Investigate internal incidents or potential violations and recommend appropriate corrective actions.
- Reporting: Prepare and submit accurate regulatory reports to external bodies and internal stakeholders.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field. A Master’s degree is preferred.
- Experience: Minimum of 3-5 years of experience in compliance, regulatory affairs, or internal auditing within the financial services industry.
- Knowledge: In-depth knowledge of AML (Anti-Money Laundering) and KYC (Know Your Customer) regulations.
- Skills: Strong analytical, problem-solving, and organizational skills with keen attention to detail.
- Certifications: CFE (Certified Fraud Examiner), CCE (Certified Compliance Executive), or CRCM (Certified Regulatory Compliance Manager) is a plus.
- Communication: Excellent written and verbal communication skills, with the ability to explain complex regulations clearly.