Job Description
Are you a strategic thinker with a passion for regulatory excellence? Newark Financial Corp is seeking a highly skilled Senior Compliance Officer to join our elite team in Newark, NJ. In this high-impact role, you will be responsible for overseeing our organization's adherence to federal and state regulations, ensuring we maintain the highest standards of integrity and risk management.
We offer a competitive salary package and a dynamic work environment where your expertise will directly influence our business growth and stability. If you are looking for a high-paying career opportunity in the heart of New Jersey's financial district, apply today.
Why Join Us?
- Competitive base salary ($85k - $130k DOE)
- Comprehensive health, dental, and vision insurance.
- Generous 401(k) matching and performance bonuses.
- Professional development and certification reimbursement.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program tailored to the financial sector, ensuring adherence to SEC, FINRA, and state regulations.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities and ensure corrective actions are implemented promptly.
- Review trading activities, investment products, and marketing materials to guarantee full compliance with internal policies and external laws.
- Act as the primary liaison with regulatory bodies and external auditors, preparing detailed reports and responding to inquiries.
- Design and deliver compliance training programs to educate employees on regulatory changes and ethical standards.
- Monitor industry trends and legislative updates to recommend proactive adjustments to the company's compliance framework.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field; Master’s degree or Juris Doctor (JD) preferred.
- Minimum of 5-7 years of progressive experience in compliance, risk management, or regulatory affairs within the financial services industry.
- Strong working knowledge of SEC regulations, FINRA rules, and AML (Anti-Money Laundering) protocols.
- Exceptional attention to detail with the ability to interpret complex regulatory text and translate it into operational procedures.
- Strong analytical and problem-solving skills with the ability to make sound judgments under pressure.
- Excellent verbal and written communication skills for stakeholder reporting.