Job Description
Join our dynamic compliance team at Global Financial Solutions Inc. as a Compliance Officer in Glendale, AZ. We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. With an $8,000 sign-on bonus and competitive benefits, this role offers growth opportunities in a supportive culture.
What We Offer:
- Comprehensive health & retirement plans
- Professional development stipend
- Hybrid work flexibility
- Collaborative team environment
Responsibilities
- Develop, implement, and monitor compliance programs per FINRA/SEC regulations
- Conduct internal audits and risk assessments quarterly
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain documentation trails
- Collaborate with legal and audit departments on compliance initiatives
- Stay current with evolving financial regulations (Dodd-Frank, AML)
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 3+ years compliance experience in financial services
- FINRA Series 63/65/66 licenses (or ability to obtain within 90 days)
- Advanced knowledge of federal/state banking regulations
- Strong analytical and investigative skills
- Proficiency in compliance software (e.g., ComplianceEase, MetricStream)
- Excellent written/verbal communication abilities
- Certified Regulatory Compliance Manager (CRCM) preferred