Job Description
Join our elite financial services firm as a Senior Compliance Officer and become a guardian of regulatory excellence in Newark's thriving financial district. This high-impact role offers unparalleled career growth and competitive compensation for top-tier professionals dedicated to ethical governance.
We're seeking a detail-oriented leader to navigate complex regulatory landscapes, implement robust compliance frameworks, and protect our organization against evolving risks. With comprehensive benefits, flexible work arrangements, and opportunities for professional development, this position represents your next career-defining move.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance requirements and ethical conduct standards
- Investigate potential violations and recommend corrective actions
- Collaborate with legal, audit, and risk management teams
- Prepare regulatory reports and maintain accurate compliance documentation
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, 27, or 63 certifications required
- Deep knowledge of SEC, FINRA, and AML/BSA regulations
- Strong analytical and problem-solving abilities
- Exceptional written/verbal communication skills
- Experience with compliance management software (e.g., Compliance.ai, MetricStream)