Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Senior Compliance Officer and play a pivotal role in ensuring regulatory excellence. We offer a competitive compensation package, comprehensive benefits, and unparalleled growth opportunities in Newark's thriving financial district. Be part of an innovative organization committed to integrity and excellence.
Responsibilities
- Develop, implement, and monitor compliance programs adhering to federal/state regulations (FINRA, SEC, AML)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and disclosures for senior leadership
- Train staff on compliance policies and regulatory updates
- Collaborate with legal and risk management teams on strategic initiatives
- Respond to regulatory inquiries and examinations from authorities
Qualifications
- Bachelor's degree in Finance, Law, or related field; advanced degree preferred
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, 53, or 63 licenses required
- Expertise in AML, BSA, and Dodd-Frank regulations
- Strong analytical skills with attention to detail
- Proven track record in regulatory reporting and risk management
- Certified Compliance & Ethics Professional (CCEP) designation a plus