Job Description
Join our award-winning compliance team at Global Financial Services Inc. and become a guardian of regulatory excellence. We seek a meticulous Senior Compliance Officer to navigate the complex landscape of financial regulations in Newark's thriving business district. This high-impact role offers competitive compensation and the opportunity to shape our compliance framework while safeguarding our clients' interests.
Our Newark office is conveniently located in the heart of the city's financial district, with easy access to public transportation. Enjoy comprehensive benefits including health insurance, 401(k) matching, and professional development stipends.
Responsibilities
- Develop and implement robust compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct thorough risk assessments and internal audits across all business units
- Investigate regulatory violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and best practices
- Collaborate with legal and audit teams to ensure cohesive governance
- Monitor regulatory changes and advise on policy adjustments
Qualifications
- Bachelor's degree in Finance, Law, or related field; Master's or JD preferred
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63 licenses required
- Expertise in AML, KYC, and OFAC regulations
- Strong analytical skills with attention to detail
- Proven ability to interpret complex regulatory frameworks
- Experience managing compliance audits and investigations
- Excellent written and verbal communication skills