Job Description
Join our dynamic compliance team in Newark, NJ and make an immediate impact! We're seeking a detail-oriented Compliance Officer to ensure regulatory adherence and mitigate risks across our financial operations. This is your chance to start tomorrow in a role offering growth, competitive compensation, and the opportunity to shape our compliance framework.
Our ideal candidate thrives in fast-paced environments and possesses deep knowledge of financial regulations. Enjoy modern workspaces, comprehensive benefits, and a culture that values integrity and professional development.
Responsibilities
- Monitor and ensure adherence to federal, state, and industry regulations (FINRA, SEC, AML)
- Develop and implement compliance policies, procedures, and controls
- Conduct regular risk assessments and internal audits
- Investigate potential compliance violations and recommend corrective actions
- Provide compliance training to staff across departments
- Prepare detailed regulatory reports for senior management
- Stay updated on evolving regulatory changes and industry best practices
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 regulations and AML requirements
- Relevant certifications (CRCM, CAMS) highly valued
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance management software (e.g., ComplyAdvantage)
- Excellent written and verbal communication skills
- Ability to manage multiple priorities in a regulated environment