Job Description
Join our elite compliance team at Global Financial Solutions Inc. and become a guardian of financial integrity in the heart of Newark's thriving financial district. We seek a Senior Compliance Officer to design, implement, and monitor robust compliance frameworks that protect our organization from regulatory risks while driving ethical excellence. This high-impact role offers competitive compensation, comprehensive benefits, and unparalleled career advancement opportunities in one of New Jersey's most dynamic business environments.
Responsibilities
- Develop and maintain comprehensive compliance programs aligned with federal regulations (SEC, FINRA, CFTC) and state-specific requirements
- Conduct in-depth risk assessments and internal audits across trading operations, client accounts, and digital platforms
- Lead regulatory examinations and prepare documentation for FINRA, SEC, and state banking authorities
- Design and deliver targeted compliance training for 500+ employees across 3 business units
- Monitor emerging regulatory trends and propose proactive mitigation strategies
- Collaborate with legal, risk, and audit teams to ensure cohesive governance frameworks
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree or CFA/CAMS preferred
- 8+ years of compliance experience in financial services with 3+ years in leadership roles
- Expert knowledge of SEC, FINRA, and AML regulations including Bank Secrecy Act
- Proven track record of managing regulatory examinations and enforcement actions
- Exceptional analytical skills with experience in compliance monitoring systems (e.g., NASD, Smarsh)
- Strong presentation skills with experience training executive teams and board members