Job Description
Join our dynamic team as a Compliance Officer in Newark, NJ and start making an impact tomorrow! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in the financial services sector. Enjoy competitive compensation, comprehensive benefits, and the opportunity to advance your career in a supportive environment. Apply today and begin your journey with us!
Responsibilities
- Monitor regulatory changes and implement compliance policies across all departments
- Conduct internal audits to ensure adherence to FINRA, SEC, and federal regulations
- Develop and maintain compliance documentation and reporting systems
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and senior leadership on compliance strategies
- Stay updated on industry trends and emerging regulatory risks
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and AML regulations
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Exceptional analytical and problem-solving skills
- Proficiency in compliance software and data analysis tools
- Excellent communication and interpersonal abilities