Job Description
Join our dynamic team as a Compliance Officer at Global Financial Solutions Inc., where we prioritize integrity and regulatory excellence in Buffalo's thriving financial sector. This pivotal role ensures adherence to federal and state regulations while safeguarding our organization against compliance risks. You'll collaborate with cross-functional teams to implement robust compliance frameworks, conduct thorough audits, and drive continuous improvement in our regulatory processes. We offer a competitive compensation package, comprehensive benefits, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, NYDFS, and other regulatory bodies
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed reports for executive leadership and regulatory authorities
- Train staff on compliance policies, procedures, and regulatory changes
- Investigate potential violations and recommend corrective actions
- Stay updated on evolving financial regulations and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field required
- 5+ years of compliance experience in financial services or banking
- CFMP, CRCM, or CAMS certification preferred
- Proficiency with compliance software (e.g., Adenza, MetricStream)
- Strong analytical skills with attention to detail
- Excellent written and verbal communication abilities
- Experience with NYDFS Part 500 regulations required