Job Description
Join our dynamic compliance team at Global Financial Services Inc. as a Compliance Officer in Seattle. We're seeking a detail-oriented professional to safeguard our organization's integrity while driving growth in the Pacific Northwest market. Enjoy competitive compensation, comprehensive benefits, and opportunities for professional development in a collaborative environment.
Responsibilities
- Monitor and ensure adherence to federal regulations (SEC, FINRA, CFTC) and state compliance requirements
- Develop, implement, and maintain robust compliance programs and policies
- Conduct regular risk assessments and internal audits for financial operations
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory changes and compliance best practices
- Investigate potential violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Law, Business Administration, or related field
- 5+ years of compliance experience in financial services or regulated industries
- Active certification (CRCM, CAMS, or CCEP) preferred
- Deep knowledge of FINRA, SEC, and Washington State regulations
- Exceptional analytical and risk assessment skills
- Strong written/verbal communication and documentation abilities
- Proficient in compliance software (e.g., ComplianceEase, OnBase)