Job Description
Join our dynamic team as a Compliance Officer at Global Financial Solutions Inc., where integrity drives innovation. We're seeking a meticulous professional to safeguard regulatory compliance across all financial operations. This role offers the opportunity to shape our compliance framework while working in Scottsdale's thriving business ecosystem. Enjoy competitive compensation, comprehensive benefits, and career growth in a forward-thinking environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, AML)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed regulatory reports and documentation for executive/board review
- Train staff on compliance policies and regulatory updates
- Collaborate with legal counsel on regulatory changes and enforcement actions
- Manage vendor compliance relationships and due diligence processes
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 5+ years compliance/regulatory experience in financial services
- Certification (CRCM, CAMS, or CCEP) strongly preferred
- Expertise in FINRA rules, BSA/AML, and SEC regulations
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance software (e.g., MetricStream, RSA Archer)
- Strong written/verbal communication skills for stakeholder reporting