Job Description
Join our dynamic team as a Senior Compliance Officer in Jersey City, NJ. You'll be pivotal in ensuring regulatory adherence across financial operations while driving innovation in compliance frameworks. This role offers hybrid work arrangements and competitive benefits.
Responsibilities
- Develop and implement compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits for financial products
- Investigate regulatory violations and recommend corrective actions
- Train staff on AML, KYC, and anti-bribery protocols
- Monitor regulatory changes and update policies accordingly
- Collaborate with legal and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Law, or related field (MBA/JD preferred)
- 5+ years compliance experience in financial services
- FINRA Series 7, 63, and 24 certifications required
- Proficiency in compliance software (e.g., Fenergo, ComplyAdvantage)
- Strong knowledge of federal/state banking regulations
- Excellent analytical and communication skills