Job Description
Join Newark Financial Group as a Senior Compliance Officer and become a guardian of regulatory excellence in the heart of New Jersey's financial hub. We're seeking a detail-driven professional to ensure our operations meet stringent regulatory standards while fostering a culture of ethical integrity. This pivotal role offers the opportunity to shape compliance frameworks, mitigate risks, and contribute to our mission of sustainable growth in the dynamic financial services sector.
As a cornerstone of our risk management team, you'll collaborate with cross-functional leaders to navigate complex regulatory landscapes and implement best practices. Our Newark-based headquarters provides a vibrant, fast-paced environment where your expertise will directly impact organizational success and regulatory compliance.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal regulations (SEC, FINRA, CFPB) and state-specific requirements
- Conduct thorough risk assessments and internal audits to identify compliance vulnerabilities
- Investigate potential violations and recommend corrective actions with detailed documentation
- Provide regulatory training to staff across departments to ensure ongoing compliance awareness
- Act as primary liaison with regulatory bodies during examinations and audits
- Stay current with emerging regulations and industry best practices through continuous research
- Prepare comprehensive compliance reports for executive leadership and board review
Qualifications
- Bachelor's degree in Finance, Business Administration, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Deep knowledge of SEC regulations, FINRA rules, AML/BSA requirements, and state compliance frameworks
- Relevant certifications (CRCM, CAMS, CCEP) strongly preferred
- Exceptional analytical skills with ability to interpret complex regulations
- Proven experience developing compliance policies and procedures
- Strong communication skills for training stakeholders and liaising with regulators
- Proficiency in compliance management software and data analysis tools