Job Description
Join our dynamic compliance team at Global Financial Services Inc. in Jersey City, where you'll safeguard our organization against regulatory risks while shaping industry best practices. As a Senior Compliance Officer, you'll work in a state-of-the-art facility with direct access to Wall Street's regulatory ecosystem. Enjoy competitive benefits, flexible work arrangements, and opportunities for professional growth in a rapidly evolving financial landscape.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and prepare detailed remediation plans
- Train staff on compliance protocols and regulatory updates
- Monitor legislative changes and advise on policy adjustments
- Collaborate with legal and risk management teams on compliance initiatives
- Manage regulatory reporting requirements and documentation
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 certifications
- Expert knowledge of AML/KYC regulations and BSA/AML requirements
- Strong analytical and problem-solving abilities
- Experience with compliance management software (e.g., MetricStream)
- Excellent communication and stakeholder management skills
- Proven ability to thrive in fast-paced regulatory environments