Job Description
Join our dynamic team at Global Financial Solutions Inc. as a Compliance Officer in Lincoln, NE. You'll be pivotal in ensuring our organization adheres to federal and state regulations while maintaining ethical standards. We offer a collaborative environment with growth opportunities and comprehensive benefits. Your expertise will directly shape our compliance framework and risk management strategies.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and maintain documentation for audits
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and senior leadership on compliance strategy
- Stay current on evolving financial regulations through continuous education
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63, 65, or 66 certifications required
- Strong knowledge of federal and state banking regulations
- Exceptional analytical and problem-solving skills
- Proficiency with compliance software and reporting tools
- Excellent written/verbal communication abilities
- Certified Regulatory Compliance Manager (CRCM) certification a plus